CCO Liability

Wyoming is the only state in the country that does not regulate investment advisers. That led three investment advisers to attempt to take advantage of ...

Compliance officers should take note of the FinCEN lawsuit filed last month against Thomas Haider, the former CCO at MoneyGram. The regulator seeks a court ...

An SEC ALJ has directed legal filings for next week after he revealed that the former CCO of Sands Brothers Asset Management ($64M in AUM) ...

An administrative proceedings release last week by the SEC indicates that Christopher Kelly, the former CCO at Sands Brothers Asset Management ($64M in AUM) in ...

You’ve no doubt struggled with the SEC’s complex custody rule but nothing like Sands Brothers Asset Management ($64M in AUM) in New York. Its troubles ...

A best practice guaranteed to reduce a compliance officer’s risks of facing possible enforcement liability from the SEC is to act on red flags. But ...

The inquiry from the SEC came in on Friday, Oct. 13, 2000. It would lead to alleged insider trading charges uniquely applied to mutual fund ...

The insider trading case that led to Wells Fargo Advisors ($334B in AUM) in St. Louis last month paying a $5 million fine to the ...

Despite several speeches by SEC staff attempting to allay fears that the Commission is targeting compliance staff, the SEC has yet to take formal steps ...