Month: June 2022

Complex trading products continue to be a focal point for regulators. Frequently, the products being marketed to investors are designed for a specific purpose such as trading under certain conditions or to moderated the impact of specific market trends. Before …

Complex Products, A Recurring Enforcement Theme Read More »

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From the beginning the purpose of the federal securities laws has been to bring a new ethics to the marketplace. For years the statutes have been interpreted in a flexible manner to help achieve the new ethics goal. Indeed, the …

EY Pays $100 Million Based on Years of Unethical Conduct Read More »

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