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Compliance Management Systems › Recordkeeping Requirements › Enforcement Actions

Foley & Lardner LLP

SEC Intensifies Scrutiny of Chief Compliance Officers

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Two recent SEC enforcement actions serve as a sharp reminder that Chief Compliance Officers (CCOs) can face personal liability for what they do – or fail to do – in the course of regulatory examinations for registered...more

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Why the DOJ Says Messaging Apps & Collaboration Platforms Are a Major Compliance Problem

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The Department of Justice (DOJ) has updated their Evaluation of Corporate Compliance Programs policy with special attention paid to messaging platforms when detecting and investigating potential misconduct and law violations....more

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