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ISS Discusses Largest Securities-Related Class Action Settlements of 2023

Reynolds Holding

JANUARY 23, 2024

After a decades-long history of alleged “reckless” and “unsound” practices, including the opening of millions of fake accounts, federal regulators imposed punitive consent orders on Wells Fargo, requiring a compliance and corporate oversight overhaul. in August 2019, wiping out about $36 billion in market capitalization.

Banking 59
Banking Private Equity Firm Alpha Compliance 59
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SEC Announces Enforcement Results for FY 2022

Reynolds Holding

NOVEMBER 15, 2022

We expect compliance.”. A hallmark of the Enforcement Program in fiscal year 2022 was robust enforcement through resolutions that imposed penalties designed to deter future violations, establish accountability from major institutions, and order tailored undertakings that provide potential roadmaps for compliance by other firms.

Compliance 45
Compliance Marketability Technology Alpha 45
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