CCO Liability

If your firm skimps on compliance resources and you feel you’re wearing too many hats, you might want to make the powers that be at ...

These proceedings arise from compliance failures at Pekin Singer, a registered investment adviser. Pekin Singer failed to conduct timely annual compliance program reviews in 2009 and ...

In explaining why he voted not to take two recent enforcement actions against CCOs, SEC Commissioner Daniel Gallagher has again urged his colleagues to act ...

Statement on Recent SEC Settlements Charging Chief Compliance Officers With Violations of Investment Advisers Act Rule 206(4)-7

The old phrase “do what you say you’re going to do” best describes why Eugene Mason, CCO at SFX Financial Advisory Management Enterprises ($15M in ...

The criminal information to which Palathinkal pled guilty alleged that in March 2014, he took an oath that he would testify truthfully in investigative testimony ...

The SEC settles with a firm and its CCO for failing to supervise a fraudster, along with not conducting promised reviews.

The SEC holds that Michael Quigley and Brian Quigley used virtually every “trick in the book” to defraud investors, sending phony account statements; using a ...

The CFO fudged the numbers and can stay in that position. But he dropped his title as CCO after the SEC said he violated the ...

This proceeding relates to certain inaccurate and incomplete information furnished by a registered investment adviser, Kornitzer Capital Management, Inc., and its chief financial officer and chief ...