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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Citigroup to Pay $15M for Compliance Failures
Citigroup Global Markets today reached a $15 million settlement with the Securities and Exchange Commission to settle charges that it failed to enforce policies and procedures to prevent and detect securities transactions that could involve the misuse of material, nonpublic information. The SEC also said the firm failed to adopt ...
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