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Financial Advisor IQ - Content Page

Financial Advisor IQ - Content Page
financialadvisoriq.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financialadvisoriq.com Daily Mail and Mail on Sunday newspapers.

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Navigating CCO liability risks: Tips for staying out of the SEC s crosshairs | Society of Corporate Compliance and Ethics (SCCE)

The issue of chief compliance officer (CCO) liability has long been debated; it has become a grave concern for CCOs, CEOs, and other C-suite executives who put on “too many hats” within.

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Lessons From SEC Enforcement Actions Involving Corporate Lawyers | Locke Lord LLP

The Securities and Exchange Commission (“SEC”) has recently brought several enforcement actions that directly or indirectly involved lawyers. These actions provide reminders to lawyers.

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Dear SEC: The compliance community wants to be a partner, not a target

Dear SEC: The compliance community wants to be a partner, not a target
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

Jeffrey kirkpatrickBrian rubinHester peirceEversheds sutherlandAdam polletNational society of compliance professionalsYork city bar associationNew york city bar associationNational societyCompliance professionals

Commissioner Hester Peirce praises SEC enforcement case

Commissioner Hester Peirce said an enforcement matter relating to a million-dollar fraud case fits a “sound” framework for charging compliance officers.

United statesErics hollifieldDavid chaseJeffrey kirkpatrickDouglas schulzJoyce gallimoreHester peirceAmerican investment councilAssociation for corporate growthGoldman sachsYork city bar association compliance committeeFinancial markets associationWall streetHamilton investment counselSecurities industryPresident trump