Tag: compliance

The country continues to slowly open in an effort to reinstate a semblance of normal life and business. As that process continues the Commission has held a series of conferences and updated various rules. This week there will be a …

This Week In Securities Litigation (Week of June 1, 2020) Read More »

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Compliance procedures have long been a key matter when it comes to material non-public information or inside information. This is particularly true for regulated entities that are required to have such systems. And, the systems can effectively constitute the first …

Compliance Failures Result in $1Million Penalty Read More »

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