The SEC's wave of enforcement actions concerning "off-channel" communications did not abate in 2024. In total, the SEC announced more than 70 firms agreed to pay more than a half-billion dollars ...

On January 13, 2025, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against twelve firms for recordkeeping failures related to off-channel communications – i.e., ...

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 ...

March 20, 2024 - Protecting communications in the private workplace has always been challenging. Our constitutional privacy protections are geared to protecting U.S. citizens from the government, not ...

Off-channel communications—those that occur outside of approved corporate systems—can pose a considerable challenge for regulatory compliance, data security and overall business integrity. The rise of ...