On Oct. 24, 2023, Gurbir Grewal, the Director of the U.S. Securities and Exchange Commission’s (sec) Enforcement Division, spoke to the NY Bar Association Compliance Institute about his views concerning faltering public trust of bank and investment institutions.
Source: SEC Enforcement Chief Issues Reminder Concerning Compliance Officer Liability
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- Source: https://spacfeed.com/sec-enforcement-chief-issues-reminder-concerning-compliance-officer-liability
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