On August 8, 2023, the United States Securities and Exchange Commission (the “SEC” or the “Commission”) announced that 11 Wall Street firms (10 broker-dealer firms and one dually-registered investment ...
With regulators expected to continue cracking down on off-channel communication in 2024, experts at law firm Eversheds Sutherland and compliance firm Smarsh are encouraging financial professionals to ...
On February 9, the Securities and Exchange Commission (SEC) announced settlements with 16 firms relating to record-keeping violations stemming from off-channel communications totaling $81 million. The ...
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