On September 27, 2022, the U.S. Securities and Exchange Commission (SEC) announced settlements against 11 major financial institutions, resolving an industry sweep into employees improperly using personal messaging...more
11/17/2022
/ Broker-Dealer ,
Corporate Counsel ,
Department of Justice (DOJ) ,
Digital Communications ,
Electronic Communications ,
Financial Institutions ,
Investment Adviser ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Text Messages ,
WhatsApp ,
Workplace Communication
On September 15, 2022, Deputy Attorney General of the Department of Justice (DOJ) Lisa Monaco announced pivotal new guidance about the DOJ’s corporate criminal enforcement efforts. Her speech, accompanied by a more...more