Recordkeeping obligations require firms to preserve business communications in a retrievable form. Enforcement against the use of unmonitored messaging apps has produced some of the largest fines of the last decade, entirely independently of any manipulation.
compliance and practice · updated 2026-09-08
See also
Chat surveillance— Chat surveillance monitors traders' electronic communications for evidence of collusion or intent. The benchmark cases were made s…
Compliance— Compliance is the function inside a regulated firm responsible for ensuring it follows applicable rules. In manipulation matters, …