SEC’s Enforcement Director Comments on CCO Liability, Self-Reporting and Cooperation (National Law Review) 

National Law Review, January 2, 2024 

SEC’s Enforcement Director Comments on CCO Liability, Self-Reporting and Cooperation 

In remarks to the New York City Bar Association Compliance Institute on October 24, 2023, the Director of the SEC’s Division of Enforcement, Gurbir S. Grewal, commented on certain aspects of compliance enforcement, including cooperation credit and enforcement actions against compliance personnel, among other things.