Tag: CCO

Cases brought by the Commission this week in include one requiring admissions of fact and that the firm violated the securities laws as a condition of settlement, a case naming as Defendants the Pastor of one of the largest Methodist …

This Week In Securities Litigation (Week ending March 30, 2018) Read More »

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Compliance programs, Chief Compliance Officers and liability have been the subject of a great deal of debate in recent months. Members of the Commission, for example, debated charging decisions regarding CCOs last year in comments that must have made those …

The SEC, CCOs and Compliance Programs Read More »

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