Tag: compliance

DOJ, Corporate Compliance, Deference and Law Enforcement

Corporate compliance is a critical issue for any firm. The DOJ and the SEC have each made it clear, for example, that compliance can have a significant impact on the resolution of investigations and possible charges. While neither the DOJ

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Compliance Failures Yield SEC Sanctions For Adviser, CEO

The retail investor focus of SEC Enforcement is translating into an investment adviser focus. The Division’s recently published Report reveals that cases involving investment advisers and investment companies were the second largest group of actions brought in the last fiscal

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