CCO Liability: Enforcement Director Speech & Update
This article discusses the issue of CCO liability.
December 08, 2023
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SEC Fines Investment Adviser CCO for Failure to Carry Out Compliance Responsibilities
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July 20, 2022
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
May 31, 2022
FINRA Publishes Guidance on CCO Liability
FINRA recently published guidance outlining when CCOs’ role is advisory and when CCOs may be liable for failing to discharge their supervisory responsibilities.
March 29, 2022
National Society of Compliance Professionals Releases CCO Liability Framework
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January 18, 2022
New York City Bar Recommends SEC Framework for CCO Liability
Following a report issued in February 2020 on how the SEC should consider potential liability for chief compliance officers of financial services firms, the New York City Bar Association Compliance...
June 15, 2021
Senior staff from the SEC’s Office of Compliance Inspections and Examinations (OCIE), the Division of Investment Management (IM) and Division of Enforcement’s Asset Management and Cyber Units joined together on...
November 24, 2020
SEC’s Peirce Calls for Framework to Provide Guidance on CCO Personal Liability
SEC Commissioner Hester Peirce has once again raised concerns about personal liability of CCOs and the lack of SEC guidance in this area, this time urging development of a framework...
October 27, 2020