On August 23, 2023, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) finalized new rules and amendments under the Investment Advisers Act of 1940 (“Advisers Act”) to enhance the regulation of private fund...more
In an increasingly digital world, financial firms need to be mindful of the variety of electronic communication channels that their employees use for work. Even where firms require employees to use firm-managed email networks...more
8/15/2023
/ CFTC ,
Compliance ,
Electronic Communications ,
Employees ,
Employer Liability Issues ,
Enforcement Actions ,
Enforcement Priorities ,
Financial Institutions ,
Instant Messaging Apps ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)