Tag Archives: Off-Channel Communications

When Networking Becomes Marketing: Regulatory Pitfalls of Introduction Conferences for BDs and RIAs

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Executive Summary Introduction conferences, whether structured as investor access events, capital-introduction programs, or sponsor-hosted product showcases, are increasingly used to connect investment advisers and broker-dealer personnel with institutional investors and … Continue reading When Networking Becomes Marketing: Regulatory Pitfalls of Introduction Conferences for BDs and RIAs →

Off-Channel Communications Start in Email: Are Your Keywords Keeping Up?

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Executive Summary Regulators continue to focus on “off-channel” communications—business-related messages conducted outside a firm’s approved system. While much of the enforcement attention has centered on text messaging and collaboration apps, … Continue reading Off-Channel Communications Start in Email: Are Your Keywords Keeping Up? →