Peter Cornick

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$1.8 Billion in SEC and CFTC Fines Highlights Continued Scrutiny of Unapproved Messaging Platforms

Federal enforcement agencies continue to scrutinize investment advisers’ use of personal devices and messaging platforms to conduct business. Our team reviews how recent penalties should encourage companies to create internal...more

10/5/2022  /  CFTC , Department of Justice (DOJ) , Enforcement Actions , Instant Messaging Apps , Investment Adviser , Regulatory Oversight , Securities and Exchange Commission (SEC)
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