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Browse: Home / 2015 / June / 17 / The SEC Goes After the Gate Keeper – Compliance Building

The SEC Goes After the Gate Keeper – Compliance Building

By Securities Docket on June 17, 2015, 9:47 am

When a fraud is uncovered, the Securities and Exchange Commission no only wants to get the fraudsters, it also wants to get those who should have stopped the fraud. The SEC just brought an action against an IRA Custodian for ignoring red flags for its accounts that invested in Ponzi schemes.

via The SEC Goes After the Gate Keeper – Compliance Building.

Posted in SEC, Top | Tagged Gatekeepers

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