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Feds Might 'Banish' More Execs for Misconduct, Attorney Says
Date:7/5/2011

s the efficacy of taking all possible measures to avoid even minor regulatory violations, Ruggio said. "Companies working within complex regulatory frameworks might well choose to seek preapproval of their compliance plans from regulators as a way to reduce the risk of inadvertent violations," he commented. "Amid these uncertainties, one thing is clear enough: the government's use of the disbarment provision is a development that must be closely tracked."

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