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Tag: Rebecca Files

What Do You Get For Cooperation with the SEC?

Doug Cornelius July 28, 2010July 27, 2010 SEC News   [+]

More likely to get sanctioned. Reduction of $30.3 million in penalties when you initiate your own investigation. Reduction of $609,000 in company penalties for each week earlier the statement is announced the public. Reduction of $112,000 in personal penalties for each week earlier the statement is announced the public. We in the compliance field have … Read more »

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