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FINRA Notice Aims To Clarify Compliance Chief Liability (Law360)
Law360, March 17, 2022
FINRA Notice Aims To Clarify Compliance Chief Liability
The Financial Industry Regulatory Authority issued a notice Thursday that aims to clarify when chief compliance officers could be hit with regulatory actions, a move that comes after industry groups, including the New York City Bar Association, pushed for more clarity to help ease a purported atmosphere of fear and anxiety in the profession.
