Amy Albanese

Amy Albanese

Eversheds Sutherland (US) LLP

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A Tale of Two Enforcement Actions Against Compliance Officers: An analysis applying the NSCP Firm and CCO Liability Framework

Many compliance officers believe they have targets on their backs. Indeed, according to industry-wide surveys conducted by the National Society of Compliance Professional (NSCP), 72% of compliance professionals are concerned...more

8/3/2022  /  Chief Compliance Officers , Compliance , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Securities and Exchange Commission (SEC)
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