SEC issues $63M in fines to dozen firms in ongoing off-channel comms sweep | News Brief

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SEC issues $63M in fines to dozen firms in ongoing off-channel comms sweep | News Brief. View article details on hiswai:

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Kohlberg Kravis Roberts & Co., fined $11 million. Charles Schwab & Co., fined $10 million. Apollo Capital Management, fined $8.5 million. Carlyle ...

Article found on: www.complianceweek.com