Tag: compliance

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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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 …

DOJ, Corporate Compliance, Deference and Law Enforcement Read More »

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