Recent SEC Charges Suggest CCOs Have Target on Their Backs (Corporate Compliance Insights)

Corporate Compliance Insights, July 13, 2022

Recent SEC Charges Suggest CCOs Have Target on Their Backs

Because of the importance of this issue to compliance professionals and others in the financial services industry, various organizations, including the New York City Bar Association (NYCBA) and the NSCP, have proposed frameworks to assist regulators in the difficult task of assessing the conduct of CCOs.

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