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Surveillance, Investigations and Enforcement
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Offences
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Publication policy of the SEC regarding the retention of the details of enforcement action on the SEC website:
Convictions – Indefinite
Compounding – Three years from the date of compounding
Warning – One year from the date of warning
Publication of Notice of Malfeasance – One year from the date of publication
Synopsis of the enforcement action taken by the SEC
Insider Dealing
Market/Price Manipulation
Front Running
Non-provision of information and provision of false and/or misleading information to the SEC
Violation of the SEC Rules / CSE Rules
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