From: Reuters
NEW YORK (Thomson Reuters Regulatory Intelligence) – The personal liability of financial services executives, including compliance leaders, has been a focus of several cases and regulatory initiatives this year, as the issue has taken hold in the United States.
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PERSONAL LIABILITY AFTER YATES MEMO – AGENCY INITIATIVES
In 2015, Deputy Attorney General U.S. Sally Yates unveiled a memorandum(here) bearing her name and setting the course for the Justice Department’s strategy on corporate prosecutions.
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