+ SEC Issues Risk Alert on BDs’ Due-Diligence Duties for Municipal Securities admin, March 20, 2012March 20, 2012, Due Diligence, Industry News, Legal Issues, Risks, compliance, Compliance Risk, Due Diligence, due diligence efforts, investment risks, Reputational Compliance, Risk Alert, Risks, Securities and Exchange Commission, 0 Citing a lack of due diligence by broker-dealers, the Securities and Exchange Commission on Monday issued a Risk Alert...
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