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Pilot program at DOJ will give immunity to executives providing information about corporate misconduct in which they were involved.
At the SIFMA annual conference event last week, off-channel communication recordkeeping challenges and possible solutions proved to be a popular panel topic.
In this session, Lindsay Moilanen, Assistant Regional Director at the SEC, outlined the Commission’s current priorities.
Compliance professionals wrestled with current challenges at the latest Global Relay roundtable event in London.