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This week’s most interesting columns and blog posts from around the web on the subjects of SEC enforcement and securities litigation.
A recent survey of UK executives and managers shows many remain “dangerously ignorant.”
Oct. 23 Webcast: Managing ERISA Pension Money — QPAM and INHAM 101 http://t.co/MNh8kbzl # How to Define “Tone-at-the-Top” — Corruption, Crime & Compliance http://t.co/0AuumJrO # NYC bankers pulled into NAB class action — Business Spectator http://t.co/OlZ97ZGd # SEC Issues Wells Notice to Proxy Adviser ISS – Compliance Week http://t.co/lqrFttzR # Too late for NY prosecution […]
Please join Timothy Brennan, Howard Pianko, and Susan Mangiero for this free webcast.
“In reality, ‘tone-at-the-top’ is not really just ‘tone-at-the top’ it is a lot more.”
ISS discloses receipt of Wells Notice from SEC following whistleblower complaint against a subsidiary.