Year: 2018

Well crafted compliance is a significant asset for any enterprise, helping create a positive culture throughout the firm. It is also the first line of defense, safeguarding the firm from liability or at least mitigating it by, for example, identifying …

Lack of Compliance Equals SEC Sanctions For Deutsche Bank Read More »

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The Commission filed a series of enforcement actions last week focused largely on retail investors. Those cases included: An action against a former CCO involving undisclosed conflicts; another centered on false statements concerning a shale oil firm; a case centered …

This Week In Securities Litigation (Week ending July 20, 2018) Read More »

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