On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced yet another settlement regarding “off-channel communications.” 1 As we have previously written about, 2 settlements of ...
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 ...
Since December 2021, the US Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have been conducting a sweep of Wall Street’s “off-channel” communications—such as ...
Financial firms continue to struggle to ensure their employees communicate through authorized, monitored channels, even though the rules are widely publicized. "The problem isn't a lack of rules. It's ...
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