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Sheppard Mullin Richter & Hampton LLP

What Private Equity Firms Need to Know About the Ongoing SEC Investigation of “Off-Channel” Communications

Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services industry. On the theory that employees’ use of...more

BakerHostetler

SEC and CFTC Show No Signs of Slowing Down Enforcement Actions for Financial Firms’ Use of Off-Channel Communications

BakerHostetler on

The settlements announced by the SEC and CFTC on Monday are a continuation of the regulators’ focus on off-channel communications by employees of registered entities....more

Robins Kaplan LLP

Financial Daily Dose 4.22.2021 | Top Story: From Competition to A.I., Big Tech Facing Increasing Regulatory Scrutiny

Robins Kaplan LLP on

A Senate antitrust subcommittee hearing on Thursday turned into an airing of grievances session for smaller tech companies focusing on their issues with Apple and Google’s app stores and their “stranglehold on the business of...more

Fenwick & West Life Sciences Group

Infrastructure Deals Dominate Digital Health Investment in 2015

Among its list of defining quotes of 2015, Rock Health included one from a physician who was frustrated with the fact that, as she put it, “In my hospital there are 19 software systems across departments – few of which...more

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