In the News
SEC’s Peirce weighs CCO enforcement case against liability framework (Compliance Week)
Compliance Week, July 5, 2022
SEC’s Peirce weighs CCO enforcement case against liability framework
In June 2021, the New York City Bar Association proposed a framework for regulators, namely the SEC, that provides a series of nonbinding factors for the agency to consider as it weighs whether to lay charges against a CCO at the conclusion of an investigation into securities law violations.
