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SEC states chief compliance officers, and other compliance staff play critically important roles at firms
Altered reports were delivered to OCIE and Enforcement by the CCO
The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...
This latest batch tackles form format, delivery, affiliates sharing their form, disciplinary disclosures and more
The line around CCO liability often is drawn by whether a compliance officer participated in an alleged fraud. In a new civil lawsuit filed in ...
Warf recalls nurses waking him to say, “‘we’re taking you to the ICU,’ which, of course, scared me to death”
A guide to help you comply with the custody rule
Leissner received more than $43M in illicit payments for his role
The additional disclosure showing revised text or summarizing the material changes must be attached as an exhibit to the unmarked amended relationship summary
"We are deleting references in the current advertising rule to specific types of communications to ensure that the final rule reflects modern communication methods, rather ...
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