Web29 Sep 2024 · Therein, the SEC staff focused on electronic communications that were not conducted through a firm’s e-mail system, including text messaging, instant messaging, … Web12 Oct 2024 · The Securities and Exchange Commission (SEC) has launched an investigation into the digital communication habits of Wall Street bank employees, three …
SEC Division of Examinations Prioritizes Off Channel …
Web4 Oct 2024 · On September 27, the Securities and Exchange Commission and Commodity Futures Trading Commission separately announced charges against an array of Wall Street firms for failing to preserve electronic communications as required by federal law. The firms collectively agreed to pay approximately $1.8 billion in civil penalties to resolve agency … Web13 Oct 2024 · The U.S. Securities and Exchange Commission (SEC) Division of Enforcement is stepping up investigative efforts looking at registered firms’ use of personal devices for business communications, which can implicate their recordkeeping obligations and result in failure to retain and produce responsive business-related communications in SEC … cytoreduction vs debulking
Is the SEC Coming for Your Texts? SEC’s New ... - Sidley Austin
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