By Jaclyn Jaeger2014-08-20T11:15:00
2015-08-14T09:15:00Z By Jaclyn Jaeger
The Securities and Exchange Commission has charged brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that they overcharged customers in new municipal bonds sales. It’s the SEC’s first case against an underwriter for pricing-related fraud in the primary market for ...
2025-09-11T14:00:00Z Provided by Riskonnect
Risk, compliance, and business continuity teams often run in parallel, but what if they worked better together? As risks become more interconnected and the pressure to respond quickly grows, companies are realizing that a siloed approach doesn’t cut it anymore.
Provided by ProcessUnity
Join this webinar with ProcessUnity to hear expert advice and best practices on how to calculate inherent risk and put it to work for your program.
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