All Perella Weinberg Partners articles

  • Discover Financial Services

    Five compliance triumphs from 2023


    A financial services giant’s compliance mea culpa that could serve to benefit the rest of the profession, a chemical company’s praised FCPA settlement, and an example of the value of whistleblowers highlight CW’s annual list of laudable ethics and compliance moments.

  • Messaging apps

    Solving the off-channel communications conundrum


    Firms monitoring employee use of off-channel communications for business purposes face numerous obstacles. How much is enough, in the opinion of regulators? How much is too much, in the eyes of employees? Determinations must be made as regulators crack down.

  • SEC office
    News Brief

    SEC lauds cooperators, whistleblowers in FY23 enforcement results


    A big year for disgorgement helped the Securities and Exchange Commission to its second highest total of financial remedies ordered in a single year in fiscal year 2023.

  • WhatsApp
    News Brief

    Broker-dealers, IAs, credit raters caught in SEC off-channel comms sweep


    A dozen financial services firms were penalized by the Securities and Exchange Commission as the agency continues its enforcement sweep of recordkeeping violations regarding employee use of off-channel communications for business purposes.