US EditionRobert Cruz Comment On Regulatory Notice 25-07
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Robert Cruz Comment On Regulatory Notice 25-07
Robert Cruz Comment On Regulatory Notice 25-07 fnrw-backend Tue, 04/15/2025 - 16:27 Robert Cruz CA US Robert.cruz@smarsh.com Financial Services compliance vendor E.1. The phrase business as such under Exchange Act Rule 17a-4(b)(4) is not defined.34 What questions, concerns or challenges, if any, does this raise with respect to ensuring compliance with the recordkeeping requirements? Are there categories of records that are especially costly or d…
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