Remediation
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CFTC Commissioner Mersinger on cooperation credit and avoiding chasing trends
Mersinger’s remarks revolved around CFTC enforcement and ideas for improvement, especially in the extension of cooperation credit.
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More SEC charges over ‘widespread’ recordkeeping failures
US regulators fined eight companies a combined $111m in the latest actions.
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SEC charges Stanley Black & Decker over executive perks disclosure
SEC settles charges against Stanley Black & Decker for failing to disclose perks it provided certain executives, but imposes no money penalty.