SEC Commissioner Peirce looks again at CCO liability

"I have underscored that the compliance obligation belongs to the firm, not to the CCO. Reminding firms that compliance is their responsibility helps to ensure that they dedicate adequate resources to, and appropriately defer to the judgment of, their compliance departments"

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?

Register now to read this article and more for free.