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Sometimes, a fine isn’t enough
U.S. regulators want companies to take firm disciplinary action against employees who are involved directly—or even indirectly—in the conduct at the heart of violations.
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- 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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