Is Your Confidential Data Safe in the Hands of Regulators?

By Joe Mont2013-07-30T00:00:00

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SEC Searching for Rules Violations in Piles of Data

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SEC Searching for Rules Violations in Piles of Data.

2014-10-15T15:45:00Z By Joe Mont

One of the more significant trends in enforcement actions by the Securities and Exchange Commission recently may not be immediately obvious.Last month, an enforcement sweep resulted in charges and fines against 28 officers, directors, and other shareholders for failing to promptly report required information about their holdings and transactions in ...
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