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 »
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 »