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Messaging Missteps: SEC's Increasing Focus on Off-Channel Communications | Proskauer - The Capital Commitment

The SEC’s Enforcement Division is conducting a sweep investigation of large investment advisers regarding their employees’ use of “off-channel” communications. The sweep, which has. ....

Exams Division , Enforcement Division , Advisers Act , Recordkeeping Rules ,

SEC Investigates Large Investment Advisers For Off Channel Communications

SEC Enforcement Division is conducting sweep investigation of large investment advisers over employees’ use of off-channel communications. Sweep focuses on text messages from personal phones, personal email, WhatsApp, other platforms not typically monitored by advisers. ....

Enforcement Division , Exams Division , Advisers Act , Recordkeeping Rules , Sec Enforcement Division , Ec Investigates Personal Cell Phones , Nvestment Adviser Off Channel Communications , Ec And Private Fund Advisers ,