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Securities and Exchange Commission (SEC) › Misleading Statements › Chief Compliance Officers

Proskauer Rose LLP

SEC Cites Falsified Compliance Records in Two Recent SEC Settlements with CCOs

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Two SEC enforcement actions from earlier this month, each including charges against a firm’s Chief Compliance Officer in their personal capacity, underscore the importance of maintaining accurate records and upholding...more

NAVEX

Ethical Culture Is Becoming More Valuable. Know How to Nurture It

NAVEX on

Corporate ethics and compliance officers have long argued that maintaining an ethical corporate culture is important to a business for all sorts of reasons. Now you might be able to offer one more: failing to maintain an...more

Katten Muchin Rosenman LLP

Bridging the Weeks - October 2019

Katten Muchin Rosenman LLP on

Last week, the Commodity Futures Trading Commission publicized a cascade of settlements of enforcement actions alleging breaches of laws and rules related to supervision, spoofing, reporting, and misappropriation of...more

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