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SEC Charges $35 Million Over Failures to Protect “PII”
SEC Charges $35 Million Over Failures to Protect “PII” Brief Introduction On September 20th, the SEC charged a well known Firm with a $35 Million penalty over […]
Read MoreSEC Charges Firms for Deficiencies in Customer Identity Theft Prevention
Brief Introduction On July 27th, the SEC charged two large Investment Banks and a Broker-Dealer for deficiencies in their programs to prevent customer identity theft. As a […]
Read MoreSEC Imposes Largest Penalty Ever Against an Audit Firm
Brief Introduction On Tuesday, June 28th, the SEC announced that they charged a well known Audit Firm for employees cheating on the CPA Ethics Exam and withholding evidence […]
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