Derivatives Trading Firms Weigh Audio Recording Approaches
On Dec. 21, the US Commodity Futures Trading Commission (CFTC) put Rule 1.35(a) into effect, mandating that firms trading in commodity interests, including commodity futures contracts, commodity options, swaps and foreign-exchange (FX) contracts, have to keep records of all communications pertaining to those transactions. Those records, which must be retained for one year, cannot be crammed haphazardly into a dusty server, but should be kept “in a form and manner identifiable and searchable by
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