Unapproved Communication Methods with regulatory agencies refer to any means of interaction or information exchange that deviate from established protocols or guidelines set forth by regulatory bodies. This can include informal conversations, emails, or meetings that occur without proper documentation, review, or adherence to regulatory compliance standards. Such methods can pose significant risks, including the potential for misinformation, lack of transparency, and non-compliance with regulatory requirements. To mitigate these risks, organizations must strictly adhere to approved channels of communication and ensure all interactions are appropriately documented and reviewed to maintain regulatory integrity and transparency.


SEC-PR-2024-44 (APR. 3, 2024) Source: Download: SEC-PR-2024-44 (PDF) PRESS RELEASE | 2024-44 SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures Washington D.C., April 3, 2024 — The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve […]


File ID: CFTC-PR-8880-24 Date: March 19, 2024 Accessed: June 15, 2024 Headline:  CFTC Orders U.S. Bank to Pay $6 Million and Oppenheimer to Pay $1 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods. Source: Categories: INTRODUCING BROKERS RECORDKEEPING FAILURES SUPERVISION FAILURES SWAP DEALERS UNAPPROVED COMMUNICATION METHODS CFTC-PR-8880-24 – Viewer: ▼▼▼ […]