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WhatsApp For Registered Investment Advisers? A New SEC Enforcement Action, That s What - Securities

On April 3, 2024, the US Securities and Exchange Commission ("SEC") brought its first enforcement action against a "stand-alone" SEC registered investment adviser.

Sanjay wadhwaGary genslerSecurities exchangeExchange commissionDivision of enforcementChannel communications febSecurities enforcement forum octInvestment advisers actSecurities exchange actAdvisers actAdvisers act ruleAdvisers act sectionDeputy directorPact releasePress releasePay more than

Insider Trading And Off-Channel Communications In The Age Of Remote And Hybrid Work Environments - Securities

Though many, if not most, of the measures implemented to address the COVID pandemic have since been rolled back, the transition from fully in-person to remote and hybrid work environments appears to be here to stay.

Steven peikinStephanie avakianSteven teixeiraTyler loudonOffice of compliance inspectionsChannel communicationsAdvisory firm senvest managementTravelcenters of america incSenvest managementHusband of energy companyWork environments risksJordan meadowInvestment advisers actRisk mitigationCompliance inspectionsRegarding market integrity

SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
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WhatsApp for Registered Investment Advisers? A New SEC Enforcement Action, That s What | Mayer Brown

On April 3, 2024, the US Securities and Exchange Commission (“SEC”) brought its first enforcement action against a “stand-alone” SEC registered investment adviser (“RIA”) for violations.

Mayer brownSanjay wadhwaGary genslerExchange commissionSecurities exchangeSecurities enforcement forum octChannel communications febDivision of enforcementInvestment advisers actSecurities exchange actAdvisers actAdvisers act ruleAdvisers act sectionDeputy directorPact releasePress release

WhatsApp All Over Again: The SEC Brings More Recordkeeping Charges Against Broker-Dealers And Investment Advisers For Off-Channel Communications - Telecoms, Mobile & Cable Communications

On February 9, 2024, the Securities and Exchange Commission (SEC) announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers.

Division of enforcementExchange commissionSecurities exchangeChannel communicationsSecurities exchange actInvestment advisersBroker dealer off channel communicationsSixteen firmsPay more thanMillion combinedSettle chargesWidespread recordkeepingStreet firmsWidespread recordkeeping failuresRecordkeeping failuresWhatsapp all over again the sec brings more recordkeeping charges against broker dealers and investment advisers for off channel communications