SEC ACTIONS. Civil and Criminal enforcement Actions, Internal investigations and Related matters.
SEC ACTIONS. Civil and Criminal enforcement Actions, Internal investigations and Related matters.
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A “Risk Alert” from the Securities and Exchange Commission highlights the five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers. The alert from the SEC’s Office of Compliance Inspections and...
Joint Announcement On April 10, 2013, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission jointly adopted and announced new identity theft red flag regulations, which are being imposed pursuant to their respective...
Compliance Manager - Investment Management Regulatory Analysis & Reporting-140065808 ## Job Description **Compliance Manager,**** Investment Management Regulatory Analysis & Reporting****** **JPMorgan Chase & Co.** (NYSE: JPM) is a leading...
Our Law Firm Memo Survey examines law firm memoranda to identify trends in business law. To prepare the survey, our Experts On-Call reviewed 87 memos from 22 large law firms. Click here subscribe to the survey’s mailing list In the third quarter of...
Louis Brandeis In his 1914 collection of essays called Other People’s Money and How the Bankers Use It, Louis Brandeis argued that powerful men such as J.P. Morgan leveraged unbalanced control of the public’s assets to their own benefit. One hundred...
True Engrossment of Reader is Real Profession of...
True Engrossment of Reader is Real Profession of a Writer.
SOCRATES is an international, refereed (peer-reviewed) and indexed scholarly hybrid open-access journal in Public Administration a...
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A blog covering SEC investigations, Civil and Criminal enforcement Actions, Internal investigations and Related matters.
SEC Halts Scheme By IM Who Bilked Off-Shore Investment Manager
It can happen to anybody. The SEC has brought what seems like an almost endless string of investment fund and offering fraud actions. Typically small, unsophisticated investors, often known to the fra...
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