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United States: The Latest Settlements In The SEC's 'Off-Channel' Communications Sweep: What This Means And What's Next - Akin Gump Strauss Hauer & Feld LLP
Credit: Mondaq- Published on October 4, 2023
Last week, the SEC announced settlements with 10 broker-dealers and affiliated investment advisers in connection with their failures to maintain and preserve electronic "off-channel" communications.
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