Hannah Henderson

Hannah Henderson

Skadden, Arps, Slate, Meagher & Flom LLP

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SEC Enforcement Division Director Clarifies Approach to Compliance Officer Liability

In a speech on October 24, 2023, the director of the Securities and Exchange Commission’s (SEC’s) Enforcement Division, Gurbir Grewal, described the scenarios in which the commission would bring an enforcement action against...more

10/30/2023  /  Chief Compliance Officers , Compliance , Enforcement Actions , Insider Trading , Internal Controls , Securities and Exchange Commission (SEC) , White Collar Crimes
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