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Investment Adviser › Securities and Exchange Commission (SEC) › Workplace Communication

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for August 2024

SEC Compliance Consultants, Inc. (SEC³) on

More Flack on WhatsApp, Hypothetical Performance SmackDown, A Timely Warning on the Pay-to-Play Rule, and Updates to Qualifying Venture Capital Fund Exemption - This month's big news from the SEC was more piggy-bank breaking...more

K&L Gates LLP

The SEC Fines Stand-Alone Adviser for Off-Channel Communications

K&L Gates LLP on

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

Wilson Sonsini Goodrich & Rosati

Banks Fined $2 Billion for Employees’ “Off-Channel” Communications—Is Your Industry at Risk?

Wilson Sonsini Goodrich & Rosati on

On September 27, 2022, the U.S. Securities and Exchange Commission (SEC) announced settlements against 11 major financial institutions, resolving an industry sweep into employees improperly using personal messaging...more

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