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Overview - On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve...more
Federal regulators have cracked down on the use of texts messages and messaging platforms for business communications, using their broad authority to root out record retention violations, resulting in significant fines and...more
The world of workforce communication looks vastly different from 2020, including an increased blur between personal and business communications due to remote work environments and access to instant messaging and...more
The SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) recently issued a risk alert (the “Alert”) regarding electronic messaging by registered investment advisers (“RIAs”). As used in the Alert, the term...more