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Due Diligence E*Trade

Dorsey & Whitney LLP

SEC Charges E*Trade Subs: When Is the Due Diligence Sufficient?

Dorsey & Whitney LLP on

Having the correct compliance procedures in place can often be critical. The SEC and the DOJ have repeatedly emphasized this in FCPA cases. Conducting due diligence can be equally critical. For gatekeepers such as lawyers,...more

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