In the News
Proposed Framework Aims to Guide Regulators in Decisions to Charge Chief Compliance Officers (The Wall Street Journal)
The Wall Street Journal, June 4, 2021
Proposed Framework Aims to Guide Regulators in Decisions to Charge Chief Compliance Officers
The proposed framework, released Wednesday by the New York City Bar Association, asks regulators to evaluate 12 affirmative factors and three mitigating factors in deciding whether to charge chief compliance officers for conduct relating to their job-related duties under federal securities laws.
