Home Authors Posts by RCW Staff

RCW Staff

Compliance: Inside a recent SEC settlement

A settlement with the regulator involving Corinthian Capital Group shows the importance of supervising staff with multiple roles.

Settlements for Corinthian show lessons must be learned

If you have complicated provisions in your LPA, you'll need to double check your math, according to sister title Regulatory Compliance Watch.

Copyright PEI Media

Not for publication, email or dissemination