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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
Merrill Lynch to pay $300K for failing to ‘promptly’ produce audit trail data
By 
Jaclyn Jaeger2019-09-11T18:44:00
Merrill Lynch must pay a $300,000 civil monetary penalty for failing to promptly produce to the CFTC certain required records and, separately, failing to supervise its employees and agents.
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