CCO Liability

Charging CCOs can actually increase future securities violations, the report argues, because it could discourage compliance professionals from “deep involvement” in their firms

MacDonald failed to exercise reasonable care and caused these fees to be transferred to VII Peaks even though she was unaware of any obligation by ...

In its first “formal communication” with new SEC Chairman Gary Gensler, the Investment Adviser Association lays out a regulatory agenda that ranges widely from calling ...

A Connecticut-based CPO/CTA has agreed to pay half a million dollars for not having compliance policies in place to prevent wash sales. The CFTC enforcement ...

Seth Leyton aided and abetted a scheme to defraud investors that involved obtaining either CMOs or cash to purchase CMOs. The defendants obtained more than ...

Former CCO Meredith Simmons shares her lessons learned following an SEC enforcement action

“I would strongly recommend never finding yourself in a position where you’re alone with the exam staff." She wished she would have asked the firm’s ...

"We notice on exams when firms hire someone for the role to check the box but do not support or empower them.  We notice when ...

Goulding commingled in the same bank accounts moneys belonging to himself, Nutmeg, and the Funds

Commissioner declares CCO liability concerns have increased over the past two years