CEO Charged

“SEC Charges Ex-CEO With Insider Trading,’ The Wall Street Journal, July 11, 2018 B12.  Ex-CEO charged with giving his paramour inside information (and money) to buy stocks.

From a compliance perspective, it is good to see that the people at the top of the shop get charged, too.  Helpful training reminder.  If the CEO doesn’t obey the law, what can you expect of the other employees?

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Filed under Compliance, Compliance, Compliance (General), Controls, Duty, Employees, Governance, Internal controls, Management, Third parties

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