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Keywords: Separation agreement
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (3): 1–10.
Published: 04 September 2017
... to SEC regulation (including public companies, broker-dealers and investment managers) may wish to consider in their employee separation agreements and other documents that may include confidentiality provisions. Design/methodology/approach Examines settled cases since 2015, in which the SEC found...
