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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Bruce Carton2016-06-02T10:30:00
Enforcement blogger Bruce Carton looks at a recent insider trading case, in which South Africa’s securities regulator agreed to reduce the defendant’s penalty because he claimed he “did not apply his mind to the applicable legislation at the time of the trading” but was now deeply sorry for his actions.
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
2016-10-25T12:00:00Z By Joe Mont
A case before the Supreme Court and two bills in Congress could finally establish a national legal definition for insider trading. Joe Mont reports.
2024-07-19T18:32:00Z By Adrianne Appel
DaVita, a multi-state dialysis provider, agreed to pay more than $34 million to resolve allegations it engaged in numerous kickback schemes to doctors who referred Medicare patients to its dialysis centers, the Department of Justice announced.
2024-07-19T16:20:00Z By Aaron Nicodemus
A whistleblower will be paid $37 million by the Securities and Exchange Commission for providing original, credible information that led to a successful enforcement action.
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