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Browse: Home / 2014 / June / 18 / SEC sanctions chief compliance officer for failing to stop insider-trading scheme – The FCPA Blog – The FCPA Blog

SEC sanctions chief compliance officer for failing to stop insider-trading scheme – The FCPA Blog – The FCPA Blog

By Securities Docket on June 18, 2014, 8:43 am

The SEC sanctioned the former president and chief compliance officer of Private Capital Management Inc. for failing to stop an insider-trading scheme involving an employee at his firm.

via SEC sanctions chief compliance officer for failing to stop insider-trading scheme – The FCPA Blog

Posted in SEC, Top | Tagged APs, Compliance, Insider Trading

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