SEC will reward cooperation where firms “mess up” with unauthorized communication

SEC Chair, Gary Gensler has suggested that financial institutions “did not act as if they got the message” around unauthorized communications. Is the regulator changing its approach?

The SEC Turns Its Sights On Crypto

Are existing structures in the crypto space sufficient to layer in some protections, or is the market too unique for these regulations?

SEC Wall Street Inquiry a Forewarning to Financial Firms on Employee Supervision

Chip Jones shares how workers sending texts and email on personal devices in a remote working environment are amplifying the compliance risks and challenges.