Year: 2016

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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On Friday the Manhattan U.S. Attorney and the SEC one again filed high profile insider trading cases after holding a press conference – standard fare for headline grabbing actions. And, this was a headline grabbing case: a corporate director; a …

Mickelson: A New SEC Rule of Insider Trading Liability? Read More »

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