Off-channel communications have topped investment advisors’ list of ongoing compliance concerns, dethroning the SEC’s Marketing Rule, according to new survey report. The 2024 Investment Management ...

Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel electronic communications. Additionally, nine other firms settled similar ...

The regulator continues a push to crack down on the tracking and use of ‘off-channel’ client communication, such as texting. The Securities and Exchange Commission on Wednesday announced charges ...