CCO liability: Don’t backdate exam docs
The CCO who admitted to the behavior received a $10,000 fine; the second—who didn’t cop to the backdating—got a $40,000 fine and a bar from being a compliance officer
The CCO who admitted to the behavior received a $10,000 fine; the second—who didn’t cop to the backdating—got a $40,000 fine and a bar from being a compliance officer
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