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Complete Issue (Volume 56, Number 21—December 6, 2023)  


Author:  Michelle N. Tanney and Edward J. Jacobs.; Claire Rajan and Ayyan Zubair.


Source: Volume 56, Number 21, December 1 2023 , pp.295-306(12)




Review of Securities & Commodities Regulation

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Abstract: 

The complete issue includes both of the articles listed in the table of contents above (“Federal Regulators Sharpen Focus on Personal Device Use and Off-Channel Communications” and “The Use of Data Analytics in Enforcement and Corporate Compliance”).

Keywords: Section 17(a)(1); eDiscovery; SEC Enforcement Actions 2022-2023; BYOD Policies; “Monaco Memo”; SEC’s Advanced Relational Trading Enforcement Metric Investigation System (“ARTEMIS”); Earnings Per Share Initiative; Market Abuse Unit

Affiliations:  1: BakerHostetler; 2: Allen & Overy LLP.

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