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The weekly news source for investment management legal and compliance professionals

News October 9, 2017 Issue

Settlement Shines New Light on Old Practice of Scalping

With ever-more sophisticated securities transactions seemingly becoming the norm, the SEC increasingly relies on its own high-tech abilities to identify fraud. Elaborate new ways of investing and transacting should not, however, distract compliance departments from monitoring their firms for some of the most basic kinds of fraud. The practice known as "scalping" is a case in point.

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