By Cory Roberson, Principal at FIN Compliance and FIN Lancer
July 11, 2018. The
SEC Office o...
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By Cory Roberson, Principal at FIN Compliance and FIN Lancer
We’ve received numerous inquiries for...
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Financial penalties, jail time, damage to company’s reputation, and business disruptions are a few issues to name when it comes to the costs associated with regulatory noncompliance. Regulatory compliance requires all organizations to follow all relevant polices, laws, and guidelines. Compliance gives a firm’s clients the assurance they need to understand that the firm is operating properly. Violation of these statutes can lead to legal punishments including fines and jail time....
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