CCO Liability

All the recent talk about CCOs being worried about being named in an enforcement action has left compliance staffers globally “feeling particularly vulnerable” to being ...

This risk alert, from November 2015, centers on advisers that rely upon outsourced CCOs. It flags behaviors these CCOs should avoid, based on what was ...

The SEC’s Enforcement Director Nov. 4 again addressed his division’s perspective on compliance officers and how Enforcement approaches cases that involve compliance personnel, but this ...

I want to emphasize that we and the Commission carefully weigh recommending and bringing actions against CCOs. We look hard at the facts and fairness ...

Regulators have stated diligent CCOs need not worry about being named in an enforcement case. Here are three recent FINRA cases involving CCOs that target ...

Andrew Donohue has been responsible for legal and compliance functions at Goldman Sachs and Merrill Lynch Investment Managers. “I know how difficult your jobs can ...

All the signs of trouble were there if only CCO James Goodland had paid attention to them, according to a new enforcement settlement with the ...

Goodland failed adequately to respond to red flags concerning Richards’ conflicts of interest, his unusual trading in client accounts and his numerous emails with a Gatekeeper ...

You’ll find few cases brought by the SEC against a CCO stemming solely from his compliance role. And there is no trend targeting CCOs, added ...

The U.S. courts will be the next stop for four Timbervest ($1.3B in AUM) executives who have vigorously fought SEC fraud charges as they contest ...