Tag: supervision

Deputy AG Sally Yates defended the DOJ corporate cooperation policy she with which she is identified in remarks this week. That policy requires business organizations to identify individuals and furnish the evidence regarding their misdeeds to earn cooperation credit. Ms. …

This Week In Securities Litigation (Week ending May 13, 2016) Read More »

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Wells Fargo was named by the Commission in a proceeding for failing to establish, maintain and enforce policies and procedures to prevent the misuse of inside information. The firm added to its difficulties during the investigation by failing to timely …

Wells Fargo Admits Violating Law, Pays SEC $5 Million Penalty Read More »

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