CCO Liability

Guidance needed on decisions to charge and not to charge CCOs

"So a compliance officer who, outside of her compliance functions, directly violates provisions of the securities laws is liable the same way anyone else would ...

The settlement asserts Meredith Simmons shared the document with OCIE examiners without divulging when she really created it

Although Haupt conducted certain reviews of GGHC’s trading in 2017, she conducted no reviews for excessive trading or the impact of GGHC’s trading strategies or ...

The Commission’s complaint further alleged that, of the $2.4 million in unlawful commissions generated from the unauthorized trading, Desiderio received over $390,000

Barbash thinks an adviser with a co-CCO arrangement should disclose it

George L. Taylor, is the CEO, founder, Chief Compliance Officer, and majority owner of Temenos Advisory, Inc. (“Temenos”), an investment adviser registered with the Commission

Diver defrauded clients by electronically debiting invoice client accounts more than what they owed to M&R and redirected the excess to his personal bank account

Three Monsoon employees told Prakash that a use of fund assets for his own personal benefit would breach his fiduciary duty. Prakash placed his personal ...

Ben Anderson, principal with Anderson PLC in Minneapolis, shares actions he believes CCOs can take to reduce their risk of being charged in an SEC ...