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Jul. 12, 2023

SEC Remains Focused on Off-Channel Communications

  • Vincent Pitaro
    Cybersecurity Law Report
Maintaining appropriate business records is a fundamental compliance duty and a core component of the SEC’s examination and enforcement regime. In recent years, the SEC has zeroed in on how firms monitor and maintain records of so-called “off-channel” electronic communications, imposing $2 billion in penalties on firms that failed to do so, Seward & Kissel partners highlighted in a recent firm presentation. This article distills their insights on this and other recent enforcement, including how advisers can appropriately address use of off-channel communications and prepare for the inevitable examination on the issue. See “Messaging Apps Come Under Increasing Regulatory Scrutiny” (Jun. 14, 2023).

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