Proposed Rules

Prohibition against Undue Influence over Chief Compliance Officers

"An employee at an SBS Entity planning an opportunistic strategy could attempt to mislead the CCO by submitting false documentation to the CCO in order to avoid disclosing the build-up of a large position that would require public reporting and thwart the plans of the employee"

Carl Ayers

December 15 2021

To read this article, you need to sign in.

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Get limited access to industry news, analysis and best practice guides, plus regular email updates

Email address

First name

first name

Last name

last name

Organisation

Country Phone number Job title

Job Title

To register, please review and accept our terms and conditions and privacy notice. I accept: sourceRegistration

To read this article, you need to sign in.

New to Regulatory Compliance Watch?

Register now

Login

Sign in to your account

Nearly there!

We have just sent you an email so you can verify your account. Please check your spam or junk folder just in case it’s been delivered there.