FINRA sanctions Trillium Brokerage Services, Director of Trading, Chief Compliance Officer, and Nine Traders $2.26 Million for Illicit Equities Trading Strategy. This is probably only the tip of an iceberg and investors will not be able to have confidence in the workings of securities markets until high-frequency trading is properly supervised and regulated.
13/10/2010
I shared some D&O questionnaire considerations on The Proxy Season Blog in
early December that I thought would be worth distributing more widely here
since...
1 day ago
0 comments:
Post a Comment