Accountability

$40,000 fine for individual who used personal phone for business

FINRA has issued an individual with a $40,000 fine after he was found to have used a prohibited personal phone for business purposes.

Trouble at the top? SEC charges senior execs with insider trading

The SEC has charged a CCO, CSO, and a Police Chief with insider trading. Are senior leaders muddying the waters when it comes to compliance?

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