*Kristine Martinez I. Introduction “[I]nvestment banks are required to keep copies of all business-related communications that employees send and receive” under Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) rules.[1] These requirements are “designed to deter and uncover infringements such as insider trading and ‘front-running,’ or trading on information that is notContinue reading “Financial Firms Struggle to Maintain Regulatory Compliance as Employees Text”
University of Baltimore Law Review 