Over the past 15 years, chief compliance officers (“CCOs”) for financial services firms have come under increased scrutiny as the Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) have brought more frequent enforcement actions seeking to hold CCOs personally liable. CCOs understandably have been concerned about this trend and financial service firms have focused on the chilling effect that the enforcement actions may have on the vital role CCOs play in their organizations and the quality of the COO applicant pool.
Blog Editors
Recent Updates
- A Common Denominator Governs the Medicare Fraction - SCOTUS Today
- New York Court of Appeals Holds That Child Victims Act Claims Brought Against the State of New York Must Meet Statutory Substantive Pleading Requirements
- Never on Sunday—or on Saturday, Either - SCOTUS Today
- Aligning Business Goals with Legal Strategies Amid Regulatory Change – Speaking of Litigation Video Podcast
- New Seventh Circuit Decision Signals Greater Flexibility for Healthcare Marketing Services