Discovery Advocate
SEC and CFTC Continue Crackdown on Financial Firms Over Off-Channel Communications
By John J. Carney, David Choi, Edward J. Jacobs, Alexandra Karambelas, Lauren P. Lyster, Michelle N. Tanney
May 23, 2023
Key Takeaways Background The SEC and CFTC settlements with HSBC and Scotia Capital come after years of federal regulators’ and prosecutors’ steadily increasing scrutiny of off-channel communications. Anchoring these settlements are...
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