You are here: Home > David Chiang
Tag Archives: David Chiang

Short Bites

on March 20, 2009 in Compliance Bits and Pieces

Here are a few stories and items that caught my eye, but I have not had time to build-out to a full post: Reminder to Review Insider Trading Compliance by Melissa Klein Aguilar for Compliance Week The SEC settled an administrative proceeding this month involving Merrill Lynch based on the firm’s failure to have adequate [...]

Read full story • Comments { 1 }