Jay Lippman
- Article
Good controls are good business
A recent SEC case highlights five key ways in which strict compliance procedures still pay off for brokerage firms when it comes to detecting and preventing fraud.
- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
2017-08-29T13:45:00
A recent SEC case highlights five key ways in which strict compliance procedures still pay off for brokerage firms when it comes to detecting and preventing fraud.
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