After facing years of hair-raising fines and penalties around recordkeeping violations, some RIA firms might take recent leadership and organizational changes at the Securities and Exchange Commission ...

As long as the firm approves a particular modality for business purposes and establishes the necessary infrastructure to capture, archive and monitor the approved modality, it will be considered ...

Off-channel communications have topped investment advisors’ list of ongoing compliance concerns, dethroning the SEC’s Marketing Rule, according to new survey report. The 2024 Investment Management ...

Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel electronic communications. Additionally, nine other firms settled similar ...

Two senior officials from the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) described how both agencies are committed to rooting out off-channel ...

Addressing employee use of off-channel communications for conducting business was clearly on the minds of compliance officers who responded to Compliance Week’s “Inside the Mind of the CCO” survey, ...