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Podcast: Adria Perez and Kate Seikaly on civil and criminal trade compliance, False Claims Act, and tariff origin checks
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GRIP Extra: FINRA appoints new Board of Governors members, DOJ pushes for Powell prosecution
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FCA MAR 7A.3.2
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Citi incurs £61.6m in fines for lack of effective trading controls
Deficiencies compounded human error and led to the accidental execution of $1.4 billion of erroneous orders.