Nader S. Amer

Oct 11, 2023 | jdsupra.com | Nader S. Amer |Alex Bein |Bruce Berman

Regulators Hit Jackpot: Off-Channel Communications - Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about problematic record-keeping practices involving the use of texting, messaging, and social media applications — such as WhatsApp, WeChat, Facebook, and Slack — for business-related communication. For example... Please see Publication below for more information.