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 ...
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., ...
The acting head of the SEC enforcement division touted the staff’s focus on firms’ off-channel communications, such as company employees' business-related texts and WhatsApp messages. In fiscal year ...
Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel electronic communications. Additionally, nine other firms settled similar ...
Six credit-rating providers, including Moody’s Investors Service and S&P Global Ratings, agreed to pay a total of $49 million in civil penalties in the latest settlement with the Securities and ...
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