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SEC Hits RIA With $6.5M Texting Fine
News April 04, 2024 at 08:17 AM
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What You Need To Know
- Senvest employees communicated about company business internally and externally using personal texting platforms
- Two former SEC attorneys predicted in late March that texting fines against RIAs were likely on their way.
- Senvest also failed to maintain or preserve the off-channel communications.
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