CCO liability
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As the SEC steps back on rulemaking, advisers face different compliance challenges
The agency’s less prescriptive approach may give firms more uncertainty, Janaya Moscony of SEC³ Compliance tells us.
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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.