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Learn from the latest headlines and protect your company today
- SEC spring rulemaking agenda signals potentially hectic fall for compliance
- European Commission assessing GDPR improvements, not overhaul
- Brinks fined $400K over restrictive whistleblower language in contracts
- Former Rite Aid compliance exec fined $305K over insider trading case
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ArticleUBS to pay $25M over ‘inadequate’ training, oversight in SEC fraud case
UBS Financial Services agreed to pay approximately $25 million to settle fraud charges brought by the SEC that cited “inadequate” training and supervisory oversight of the firm’s financial advisers regarding a complex options trading strategy.
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e-Book: Avoiding pitfalls of working in high-risk regions
The issues of working in high-risk regions have always been there, but recent dynamic events and circumstances have added unique challenges.
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Survey: Tell us about your M&A compliance
Take part in this 3-minute survey to help benchmark your mergers and acquisitions pain points against those of your peers. One lucky respondent will win a $200 Amazon gift card for completing the survey.
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