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1 year ago

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SEC scrutiny into Wall Street communications shifts to investment funds - sources

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SEC scrutiny into Wall Street communications shifts to investment funds - sources

The U.S. Securities and Exchange Commission's scrutiny of how Wall Street handles work-related communications on personal devices and apps such as WhatsApp has expanded beyond broker-dealers to investment funds and advisers, according to four people familiar with the inquiry.

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SEC scrutiny into Wall Street communications shifts to investment funds - sources

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SEC scrutiny into Wall Street communications shifts to investment funds - sources

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