News & Analysis as of November 17, 2024

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Consumer Finance Monitor Podcast Episode: State Fair Access and Debanking Laws Bring Country’s Political and Cultural Divisions to the Fore
Introducing Heryka Knoespel: A New Partner at Troutman Pepper — The Consumer Finance Podcast
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Hot Topics in International Trade, Wyoming, Blockchain, Crypto, and the Current Landscape of Regulations
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Navigating Hot Topics in Consumer Finance: Litigation Trends, Regulatory Changes, and Medical Debt Collection – The Consumer Finance Podcast
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Exploring AI's Potential in Financial Services With John Sun of SpringLabs — The Consumer Finance Podcast
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Navigating Regulatory Waters: Recent Enforcement Actions in BaaS — Payments Pros – The Payments Law Podcast

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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