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Expert Analysis

When And What To Self-Report — And How To Benefit From It

Law360, New York ( January 6, 2016, 10:40 AM EST) -- Officers and directors of public companies, investment advisers and other regulated entities in the securities industry have developed a variety of compliance controls to identify and mitigate risks in their businesses. At the same time, the principals of public or regulated entities must continually assess internal issues to determine whether it is required or advisable to self-report them to regulators. This responsibility is coupled with the need to ensure that any disclosures made are appropriate and accompanied by sufficient corrective efforts to allay regulatory concerns....

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