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CCO liability
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FINRA fines former CCO at BD firm over surveillance lapses
Two compliance leaders of the global firm allegedly failed to properly supervise the surveillance of securities transactions.
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Directors, take note: Practical tips for UK directors to avoid personal liability
Directors’ pitfalls: practical guidance for directors seeking to avoid personal liability in light of the recent Wright v Chappell case.
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In 2023, the future of compliance and regulation was just beginning
Our US editor Julie DiMauro reflects on the events of 2023, and what they suggest 2024 might bring.
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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.
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SEC Commissioner Mark Uyeda prepared and unscripted at NSCP conference
Commissioner tells annual gathering to prepare for additional workload caused by ‘overactive’ regulator.