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On April 3, 2024, the US Securities and Exchange Commission announced that it had reached a $6.5 million settlement with registered investment adviser (RIA) Senvest Management, LLC on charges related to the firm’s “widespread and longstanding failures to maintain and preserve certain electronic communications.”

This article analyze potential lessons learned from this latest off-channel communications SEC enforcement action.

This resource was originally published on the website of Latham & Watkins on April 24, 2024.

 

 

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Region: United States
The information in any resource collected in this virtual library should not be construed as legal advice or legal opinion on specific facts and should not be considered representative of the views of its authors, its sponsors, and/or ACC. These resources are not intended as a definitive statement on the subject addressed. Rather, they are intended to serve as a tool providing practical advice and references for the busy in-house practitioner and other readers.
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