SEC charges broker-dealer for failure to protect against insider trading by employees
Year of publication: |
2015
|
---|---|
Authors: | Nathan, Daniel A. ; Rowe, Tiffany |
Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 16.2015, 1, p. 59-62
|
Subject: | Policies and procedures | Securities and Exchange Commission | Broker-dealer | Insider trading | Material non-public information | Settlement | Insiderhandel | Finanzmarktaufsicht | Financial supervision | Kapitalmarktrecht | Financial markets law |
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