G. Max Miseyko

G. Max Miseyko

Eversheds Sutherland (US) LLP

Contact
View Bio
RSS

Latest Publications

Share:

No good deed goes unpunished: FINRA punishes firm for failing to supervise use of approved off-channel communications

FINRA recently sanctioned, through a Letter of Acceptance, Waiver and Consent (AWC), a broker-dealer for off-channel communications—not because financial professionals texted or used instant messaging when they weren’t...more

8/13/2025  /  Broker-Dealer , Electronic Data Transmissions , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Information Governance , Instant Messaging Apps , Internal Communications , Policies and Procedures , Recordkeeping Requirements , Third-Party Risk
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide