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CCO Liability

SEC Chair Mary Jo White has now jumped into the debate swirling among her fellow commissioners Luis Aguilar and Daniel Gallagher concerning CCO liability and ...
The result could hardly have ended any worse for Michael Carino, CCO at AlphaBridge Capital Management ($296M in AUM) in Greenwich, Conn. The SEC says ...
These proceedings arise out of a fraudulent scheme orchestrated by a registered investment adviser to inflate the valuations of certain mortgage-backed securities held in the portfolio ...
Only five SEC enforcement actions in the last 11 years have cited CCOs for violations of the compliance rule, according to SEC Commissioner Luis Aguilar. ...
Given the vital role that CCOs play, they need to be supported. Simply stated, the Commission needs capable and honest CCOs to help protect investors ...
If your firm skimps on compliance resources and you feel you’re wearing too many hats, you might want to make the powers that be at ...
These proceedings arise from compliance failures at Pekin Singer, a registered investment adviser. Pekin Singer failed to conduct timely annual compliance program reviews in 2009 and ...
In explaining why he voted not to take two recent enforcement actions against CCOs, SEC Commissioner Daniel Gallagher has again urged his colleagues to act ...
Statement on Recent SEC Settlements Charging Chief Compliance Officers With Violations of Investment Advisers Act Rule 206(4)-7
The old phrase “do what you say you’re going to do” best describes why Eugene Mason, CCO at SFX Financial Advisory Management Enterprises ($15M in ...
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