Jeremy Cantor

Jeremy Cantor

Lowenstein Sandler LLP

Contact
View Bio
RSS

Latest Posts › Electronic Communications

Share:

Another Wave of SEC Settlements Underscore the Continued Priority of Record Retention Communication Compliance

On August 14, 2024, the U.S. Securities and Exchange Commission (SEC) announced another series of settlements regarding “off-channel communications.”1 As part of its Off-Channel Communications Initiative,2 the SEC settled...more

9/9/2024  /  Broker-Dealer , Chief Compliance Officers , Electronic Communications , Instant Messaging Apps , Investment Adviser , Investment Advisers Act of 1940 , Law Enforcement , Popular , Recordkeeping Requirements , Securities and Exchange Commission (SEC)

SEC Settlement Highlights Continued Scrutiny of Off-Channel Communications

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced yet another settlement regarding “off-channel communications.” As we have previously written about, settlements of this type have become...more

4/11/2024  /  Advisors Act , Broker-Dealer , Electronic Communications , Investment Adviser , Policies and Procedures , Recordkeeping Requirements , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Settlement
2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide