CCO Liability

The case against David Montanino falls into a whole separate category. This CCO attracted an SECenforcement action last week because he allegedly engaged in out ...

Thomas Meade can give up on being named CCO of the year. The former president/CCO at Private Capital Management ($272M in AUM) in Denver displayed ...

Just days after an SEC commissioner again sought to assuage industry compliance staff worries of being targeted by the agency, Enforcement Director Andrew Ceresneyvowed last ...

More than half of the compliance professionals answering a new survey expect their personal liability to increase this year. The Cost of Compliance 2014 from ...

It started as a routine exam by a state regulator in 2007 and seven years later remnants of the case languish in court as a ...

Two years after SEC commissioners failed to advance the case against former Ferris, Baker Watts General Counsel Ted Urban (IA Watch, Feb. 6, 2012), concern ...

At first glance, Robert Falkenberg's resume impresses. The former CCO at Parallax Investments in Houston had previously served as an IA/B-D examiner for California, worked ...

Another week has brought another series of SEC enforcement cases that broadcast the message that the agency will target firms and CCOs that run deficient ...

Three firms and their CCOs took raps to the knuckles last week as the SEC again announced a trio of cases designed to warn firms ...