Compliance professionals, consultants, attorneys, accountants, and others serve as the first lines of defense against misconduct, said SEC enforcement division chief Gurbir Grewal in prepared remarks Tuesday at the New York City Bar Association’s Compliance Institute. And so they need to create “a culture of proactive compliance”, working to implement
SEC’s Gurbir Grewal calls for culture of proactive compliance
SEC enforcement chief sets out three pillars underpinning effective culture, offers assurance on CCO liability.