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Searching Content indexed under Securities by Ellen Holloman ordered by Published Date Descending.
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Corporations, Directors, And Officers: Potential Criminal And Civil Liability
This practice note provides an overview of the law and legal standards governing the imposition of criminal liability on officers, directors, and corporations for the acts of employees.
United States
30 Nov 2018
2
Choose One: Best Interest Or Full Service
On April 18, the SEC approved the publication of three releases proposing new regulatory requirements that are intended to expand and clarify the duties that broker-dealers and investment advisers...
United States
3 May 2018
3
Revisions Proposed To The UK Corporate Governance Code: An Overview And Comparison With Aspects Of US Corporate Governance
In December 2017, the UK Financial Reporting Council (the "FRC") proposed revisions to the UK Corporate Governance Code.
UK
27 Feb 2018
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