News & Analysis as of August 20, 2025

Recordkeeping Requirements

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SEC Intensifies Scrutiny of Chief Compliance Officers

Foley & Lardner LLP on 8/15/2025

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

SEC to Continue Aggressive Enforcement Efforts in 2024 After Record-Setting 2023

Foley Hoag LLP - White Collar Law &... on 2/27/2024

This is the fourth in our 2024 Year in Preview series examining important trends in white collar law and investigations in the coming year. We will be posting further installments in the series throughout the next several...more

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Securities Regulation › Corporate Counsel › Recordkeeping Requirements

SEC Intensifies Scrutiny of Chief Compliance Officers

SEC to Continue Aggressive Enforcement Efforts in 2024 After Record-Setting 2023

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