Monday 23rd December 2024
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Comsure operates in:the UK, Jersey, Guernsey


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Enforcement Action against a former Compliance Officer

Recently, the SEC filed an Enforcement Action against a former Wells Fargo Advisors Compliance Officer. According to the SEC, the Compliance Officer, Judy K. Wolf, was responsible for performing trading surveillance reviews to identify potential insider trading activity. Wolf ‘s September 2010 surveillance review of a particular employee’s trading found no issues. Apparently, in December […]

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