http://ift.tt/1QsgQDp
"The Financial Industry Regulatory Authority levied a $2.6 million fine against*Scottrade*on Monday for failing*to retain more than 168 million outgoing emails and record*email communications in the proper format.According to*FINRA, from January 2011 to January 2014*Scottrade*failed to put in place centralized, firm-wide policies and*procedures around document retention. Also, instead of saving all documents in the format required by securities laws, several of Scottrade’s departments saved files in various formats to a restricted shared drive."
"The Financial Industry Regulatory Authority levied a $2.6 million fine against*Scottrade*on Monday for failing*to retain more than 168 million outgoing emails and record*email communications in the proper format.According to*FINRA, from January 2011 to January 2014*Scottrade*failed to put in place centralized, firm-wide policies and*procedures around document retention. Also, instead of saving all documents in the format required by securities laws, several of Scottrade’s departments saved files in various formats to a restricted shared drive."
[text] FINRA Fines Scottrade $2.6 Million for Failing to Save Emails
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