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Twenty Practical Steps to Better Corporate Governance | The Corporate Secretaries International Association (CSIA)

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Thursday, May 4, 2017

NFA Fines UK-Based Asset Manager $1M Over Loans To CEO

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A London-based asset manager agreed on Tuesday to pay the National Futures Association a $1 million fine to settle allegations that it used pooled investor funds to loan money to entities affiliated with the company’s CEO in furtherance of his personal interests.

May 04, 2017 at 12:19AM

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