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SEC Sends Warning To Compliance Chiefs With BlackRock Fine

By Ed Beeson (April 22, 2015, 4:15 PM EDT) -- In sanctioning a former compliance boss at BlackRock Advisors LLC, the U.S. Securities and Exchange Commission has made it clear that chief compliance officers are not immune to their firms' failings, and they too can face career-damaging penalties if they fail to police known conflicts of interest, experts say....

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