Firms Reconsider Communications Practices Amid SEC Crackdown

Nearly four years into the Securities and Exchange Commission’s probe into the unauthorized use of staff personal devices to discuss company business, firms are evaluating which communications platforms its employees can use – and which to avoid – as the regulator expands its crackdown to registered investment advisors and asset managers. “Since the tools are out there and they’re easy to use, they’re easy to install, there’s really no excuse not to be using them,” said Mario Favetta, a relationship manager at FUSE Research Network.

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Article published on May 23, 2024