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FINRA Disciplinary Actions, Fines, Dropped in 2022

Eversheds Sutherland report found FINRA disciplinary actions and fines dropped from 2021 to 2022; according to partners, Reg BI actions are likely to rise. ....

Adamc Pollet , Brian Rubin , Exchange Commission , Financial Industry Regulatory Authority , Eversheds Sutherland Top Enforcement Issues ,

Lessons from Waddell & Reed reverse churning case

A $775,000 settlement for Waddell & Reed relating to its pre-LPL days displays how the regulator is ramping up enforcement of such cases, experts said. ....

Nicole Boyson , Waddell Reed , Susan Schroeder , Raymond James , Brian Rubin , Linda Morgan , Northeastern University , Wall Street , Wilmerhale Partner Susan Schroeder , Eversheds Sutherland Washington , Kovack Advisors , Regulation Best , Regulation And Compliance , Lpl Financial ,

Theorycraft Games Raises $50 Million to Maintain Long-Term Focus on Talent and Game

Theorycraft Games Raises $50 Million to Maintain Long-Term Focus on Talent and Game
streetinsider.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from streetinsider.com Daily Mail and Mail on Sunday newspapers.

United States , Moby Francke , Mike Tipul , Jay Chi , Jon Belliss , Joe Tung , Michael Evans , Los Angeles , Brian Rubin , Areeb Pirani , Chris Tom , Andrew Yip , Makers Fund , Team Fortress , Valve Software , Independent Game Developer , Continue Developing , Team Based Game , Best Talent , Theorycraft Games , Teamfight Tactics , North American , Riot Games ,

A Tale of Two Enforcement Actions Against Compliance Officers: An analysis applying the NSCP Firm and CCO Liability Framework | Eversheds Sutherland (US) LLP

Many compliance officers believe they have targets on their backs. Indeed, according to industry-wide surveys conducted by the National Society of Compliance Professional (NSCP), 72% of. ....

Brian Rubin , Amy Albanese , Eversheds Sutherland , National Society Of Compliance Professional , National Society , Compliance Professional ,

Dear SEC: The compliance community wants to be a partner, not a target

Dear SEC: The compliance community wants to be a partner, not a target
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

Jeffrey Kirkpatrick , Brian Rubin , Hester Peirce , Eversheds Sutherland , Adam Pollet , National Society Of Compliance Professionals , York City Bar Association , New York City Bar Association , National Society , Compliance Professionals ,