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Browse: Home / 2014 / September / 24 / SEC Brings First Case Against B-D for Not Protecting Nonpublic Customer Info | Compliance Week

SEC Brings First Case Against B-D for Not Protecting Nonpublic Customer Info | Compliance Week

By Securities Docket on September 24, 2014, 12:00 pm

The SEC brought an interesting case this week against Wells Fargo Advisors LLC for failing to maintain adequate controls to prevent an employee from engaging in insider trading based on a customer’s nonpublic information. The SEC said the case was the first it has brought against a broker-dealer for failing to protect nonpublic information conveyed by its customers.

via SEC Brings First Case Against B-D for Not Protecting Nonpublic Customer Info | Compliance Week

Posted in SEC, Top | Tagged Compliance, Insider Trading

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