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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 obtains settlement in kickback scheme
Seven individuals from broker-dealer Direct Access Partners settled charges with the SEC last week for their role in a massive kickback scheme to secure the bond trading business of a state-owned Venezuelan bank. As Compliance Week previously reported, the SEC and Department of Justice unsealed criminal charges in May 2013 ...
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