News & Analysis as of November 17, 2024

Private Equity

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What Private Equity Firms Need to Know About the Ongoing SEC Investigation of “Off-Channel” Communications

Sheppard Mullin Richter & Hampton LLP on 4/22/2024

Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services industry. On the theory that employees’ use of...more

SEC and CFTC Show No Signs of Slowing Down Enforcement Actions for Financial Firms’ Use of Off-Channel Communications

BakerHostetler on 8/11/2023

The settlements announced by the SEC and CFTC on Monday are a continuation of the regulators’ focus on off-channel communications by employees of registered entities....more

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What Private Equity Firms Need to Know About the Ongoing SEC Investigation of “Off-Channel” Communications

SEC and CFTC Show No Signs of Slowing Down Enforcement Actions for Financial Firms’ Use of Off-Channel Communications

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