On January 13, 2025, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against twelve firms for recordkeeping ...

On January 13, 2025, one week before Chair Gary Gensler is expected to step down as Chair, the Securities and Exchange Commission (“SEC”) ...

Charles Schwab, KKR, Blackstone, Apollo and Carlyle are among a group of investment advisory and brokerage firms that were caught letting their employees use off-channel communications like What ...

The SEC cracked down further on firms accused of allowing illegal "off channel" communications with tens of millions in fines for Blackstone, Charles Schwab, KKR and other prominent names.

Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In ...

Mitel, a global leader in business communications, today announced that CRN®, a brand of The Channel Company, has named Steve Loebrich, Head of Channe ...

Related: Stifel, Invesco Among 11 Firms Paying $88M To Settle SEC Off-Channel Communications Violations According to SEC Acting Enforcement Division Director Sanjay Wadhwa, the commission relies ...