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Are CCOs Really In The SEC’s Crosshairs? (Law360)

Law360, November 17, 2023 

Are CCOs Really In The SEC’s Crosshairs? 

On Oct. 24, SEC Enforcement Director Gurbir Grewal gave a speech at the New York City Bar Association’s Compliance Institute to address these concerns. Following principles articulated by prior SEC staff, he stated that there are really three situations where the Commission typically brings enforcement actions against compliance personnel.