Andrew Escher

Andrew Escher

Winthrop & Weinstine, P.A.

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In the Wake of Recordbreaking Whistleblower Award, Review Compliance Protocols

Companies that are subject to federal securities laws and regulations, and those involved in markets for futures, options, and swaps should take note: On October 21, 2021, the Commodity Futures Trading Commission (CFTC)...more

10/27/2021  /  CFTC , Compliance , Dodd-Frank , Enforcement Actions , Investment Adviser , Securities and Exchange Commission (SEC) , Whistleblower Awards , Whistleblowers
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