In the News
The week in GRC (Corporate Secretary)
Date
June 11, 2021
Corporate Secretary, June 11, 2021
The week in GRC
The New York City Bar Association‘s proposed framework asks regulators to evaluate 12 affirmative factors and three mitigating factors in deciding whether to charge CCOs for conduct linked to their job-related duties under federal securities laws. The proposal is intended to guide decisions to charge CCOs made by the SEC and FINRA.
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