NY City Bar Association Issues Report on CCO Liability: New Recommendations for the SEC (Investment Adviser Association)

May 2020, Investment Adviser Association

“A recent report by the New York City Bar Association (NYCBA) and others – Chief Compliance Officer Liability in the Financial Sector – details concerns about compliance officer liability and calls on regulators to provide limitations and guidance on when a compliance officer can be charged. The concerns in the report are summarized below.”

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