Text messaging is convenient. It is an informal and instant mode of communication now available through numerous apps, which allow an individual to use their synced phone, tablet, and computer to quickly fire off messages. ...more
10/12/2022
/ Broker-Dealer ,
CFTC ,
Compliance ,
Confidential Communications ,
Department of Justice (DOJ) ,
Electronic Communications ,
Enforcement ,
Financial Institutions ,
Foreign Corrupt Practices Act (FCPA) ,
Penalties ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Texting
On August 1, 2022, the New York Department of Financial Services (“DFS” or the “Department”) secured its first enforcement win against a cryptocurrency platform, Robinhood’s crypto trading arm Robinhood Crypto, LLC....more