Message Received: How to View SEC’s Off-Channel Communications Probe

Financial firms have two options to address the regulatory requirements, according to Nick Morgan, a partner in the litigation department at law firm Paul Hastings: Implement technology to keep records on more channels, or restrict which channels are permitted.

“Either you’re capturing more or you’re talking less,” said Morgan, who previously served as senior trial counsel in the SEC’s Enforcement Division.

Source: Message Received: How to View SEC’s Off-Channel Communications Probe