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Five compliance triumphs from 2022 (Compliance Week)

Compliance Week, December 7, 2022

Five compliance triumphs from 2022

While the SEC has done little as an agency to demonstrate it’s mulling a framework, Peirce has kept the conversation going with multiple public statements on the subject. Her latest came in July, when she went as far as to weigh the New York City Bar Association’s proposed CCO framework against a case the agency settled with the CCO of a formerly registered investment adviser.

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