The Securities and Exchange Commission (SEC) has made headlines with its enforcement actions against Wall Street firms for the use of “off-channel” communications by their supervised persons.

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 ...

Over the last several years, the Securities and Exchange Commission (the “SEC”) and the Commodities Futures Trading Commission (“CFTC”) have been laser-focused on the use of so called “off-channel ...

Atlanta-based Birch Communications is a veteran service provider that has gone through a slew of acquisitions – 28, to be exact, over the past decade – in an effort to become more channel-friendly and ...

LPL Financial is potentially facing $50 million in fines from the Securities and Exchange Commission for failing to retain records and adequately supervise its employees’ use of off-channel cellphone ...

FLASH FRIDAY is a weekly content series looking at the past, present and future of capital markets trading and technology. FLASH FRIDAY is sponsored by Instinet, a Nomura company. On Friday, February ...

The ongoing off-channel communications sweep by the Securities and Exchange Commission (SEC) netted 16 more broker-dealers and investment advisers, with the latest wave of fines totaling more than $81 ...

The regulator continues a push to crack down on the tracking and use of ‘off-channel’ client communication, such as texting. The Securities and Exchange Commission on Wednesday announced charges ...

A new report from Global Relay, a leading provider of electronic communication compliance and archiving solutions, spotlights the challenges financial services firms face in maintaining compliance ...

Most capital markets professionals in the U.S., U.K. and Europe would like to consolidate all their communications channels into a single platform to simplify correspondence, minimize security risks ...