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SEC Enforcement Trends: Targeting Gatekeepers and Rewarding Tipsters
By Jaclyn Jaeger2014-10-28T10:30:00
The Securities and Exchange Commission brought a record-breaking number of enforcement actions in fiscal year 2014, including several against compliance and audit executives. That should come as no surprise: Enforcement Director Andrew Ceresney (pictured above) warned last spring that the SEC wouldn’t hesitate to pursue executives, including compliance professionals, when ...
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