Year: 2022

Compliance is a critical function for all enterprises. Adopting appropriate standards and ensuring that they are properly implemented is key to the proper functioning of the firm. The adoption of the proper standards helps guide the company in the marketplace, …

The Need for Effective Compliance Read More »

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False statements made in connection with the purchase or sale of a security violate the antifraud provisions of the federal securities laws, assuming they are material. In the typical case the investor is deceived and unaware that he or she …

Insurance Company Deceives Investors With Omissions Read More »

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