Key Takeaways From SEC’s First “Off-Channel Communications” Settlement With Stand-Alone Registered Investment Adviser
| Published date | 25 April 2024 |
| Subject Matter | CFTC,Investment Adviser,Broker-Dealer,Enforcement Actions,Private Funds,Registered Investment Advisors,Securities Violations,Securities and Exchange Commission (SEC),Financial Industry Regulatory Authority (FINRA) |
| Law Firm | Latham & Watkins LLP |
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