Regulatory Focus On Off-Channel Communications: What You Need to Know for Your Compliance Program

In the October 2024 issue of the Charles Schwab Compliance Review, Managing Partner Michelle L. Jacko delves into the increasingly important issue of Off-Channel Communications and its regulatory implications for Investment Advisers and other Finance institutions and service providers. As technology evolves, so too do the methods by which businesses communicate with clients and stakeholders—often outside traditional, monitored channels. In this article, Jacko explores the complexities of adopting and implementing practices that adhere to the SEC’s growing and evolving regulatory framework. With the SEC’s swift and responsive regulatory approach, staying informed of compliance requirements has never been more critical.

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