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The SEC’s rules have not changed so stay the course and avoid penalties and reputational harm, says Ryan Sheridan at Global Relay.
Financial services firms have shifted their compliance priorities away from off-channel communication concerns despite a whirlwind of penalties issued by former SEC Chair Gary Gensler during the Biden years, according to a new survey. But the rules, monetary penalties, and risk of reputational harm have not gone away from off-channel violations, Ryan Sheridan, U.S. head...
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