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Firm Charged $15 Million for Failure to Prevent and Detect Fraud
SEC RELEASES Introduction After four investment advisers and registered representatives (hereby, financial advisors) were charged with stealing millions of dollars, their firm was charged a […]
Read MoreThe Importance of Compliance Testing | Vigilant Insights
Vigilant Insights Introduction As Firms finalize their compliance programs from 2024, a common concern for Compliance Officers focuses on Annual Testing. Compliance Testing is an essential […]
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