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Law360

SEC Off-Channel Comms Action Hints At Future Enforcement

April 26, 2024
Authors
Ranah EsmailiLara Shalov MehrabanDavid S. Petron

On April 3, the U.S. Securities and Exchange Commission announced an off-channel communications enforcement action that was the first such action against a private fund adviser and the first off-channel case against a standalone investment adviser since the SEC launched investigative sweeps focused on off-channel communications in 2022.

The matter marks the latest in a series of enforcement actions for communications-related recordkeeping failures.

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Contacts

Esmaili, Ranah
合伙人律师
Mehraban, Lara Shalov
合伙人律师
Petron, David S.
合伙人律师

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