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Ana-Maria Ignat
ID:
1b83e450-2619-30fb-68c4
/
Unclaimed
/
Organization:
Morrison & Foerster LLP
Published Works
12 articles
A Blast from the Past: The SEC Fines Investment Adviser/Broker-Dealer for Breakpoint Violations
IM Insights ·
April 10, 2014
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Broker-Dealer Cybersecurity: Protect Yourself or Pay the Price
IM Insights ·
January 10, 2014
cite
SEC Commissioner Draws Some Clean Enforcement Lines
IM Insights ·
November 11, 2013
cite
When Legal or Compliance Personnel May Be Subject to Failure to Supervise Liability Under the Securities Laws
IM Insights ·
October 10, 2013
cite
FINRA Gives Member Firms a Thumbs Up on Suitability Rule Compliance
IM Insights ·
September 30, 2013
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