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Entries in failure to supervise (2)


SEC sanctions chief compliance officer for failing to stop insider-trading scheme

The SEC sanctioned the former president and chief compliance officer of Private Capital Management Inc. for failing to stop an insider-trading scheme involving an employee at his firm.

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SEC commissioner calls Dodd-Frank the 'lawyers full employment act'

Daniel M. Gallagher began his commissioner's term in November 2011SEC Commissioner Daniel M. Gallagher talked Monday about the expanded role of compliance professionals in the securities industry.

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