Expect Focus - Volume III, September 2023

Nader Amer, Alex Bein, Bruce Berman, Ann Young Black, Patricia Carreiro, Richard Choi, Justin Chretien, John Clabby, Gary Cohen, W. Thomas Conner, Mederic Daigneault, Ann Began Furman, Brendan Gooley, Sean Hughes, Thomas Lauerman, Tino Lisella, Natalie Napierala, Irma Reboso Solares, Jonathan Sterling, Charles Throckmorton, Erin VanSickle, Michael Wolgin, Edmund Zaharewicz
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Regulators Hit Jackpot: Off-Channel Communications -

Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about problematic record-keeping practices involving the use of texting, messaging, and social media applications — such as WhatsApp, WeChat, Facebook, and Slack — for business-related communication. For example...

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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