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Altering compliance records prior to their production for
an examination and inadequate procedures to control the flow of nonpublic
information became the predicate for sanctions against a broker dealer, an
investment adviser and the chief compliance...
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...
Barclays took a double hit from regulators yesterday. First the Financial Conduct Authority in the UK fined Barclays Bank PLC, about £38 million for putting £16.5 billion of client assets at risk. Then the SEC imposed a $15 million penalty...
With failure, comes learning. As a compliance officer, disciplinary actions against other compliance officers can
be a road map showing me what not to do. Recently, the SEC charged affiliated
firms and their former chief compliance officer with failing...