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Getting Personal - Financial Regulators' Warn of a New Era of Individual Responsibility

April 11, 2014

By LAWRENCE D. KAPLAN & KIRBY BEHRE

A new theme is developing in financial services regulatory enforcement – assigning personal responsibility for ostensibly corporate acts. As a result, individual officers at financial services companies, in addition to the institutions themselves, are now in the regulators’ cross-hairs. Financial services companies and their officers need to be prepared for this new regualtory trend.

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Image: Lawrence D Kaplan
Lawrence D Kaplan
Of Counsel, Corporate Department