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Join the Securities Litigation and Enforcement Group on LinkedInSEC dusts off Reg AC to charge former Deutsche Bank analyst | Compliance Week
Today, the SEC announced that it has filed a settled administrative proceeding against Charles P. Grom, a former Deutsche Bank research analyst, for allegedly certifying a rating on a stock that was inconsistent with his personal view. The SEC alleged that Grom’s conduct violated the analyst certification requirement of Regulation Analyst Certification (“Reg AC”). via SEC dusts off Reg AC […]