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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
SEC: Merrill Lynch to pay $42M for misleading customers
The Securities and Exchange Commission on June 19 announced charges against Merrill Lynch for misleading customers about how it handled their orders. Merrill Lynch agreed to settle the charges, admit wrongdoing, and pay a $42 million civil penalty.
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News BriefFCA dings Infinox in first fine under U.K. capital market reforms of 2018
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