NYC Bar Association Proposes a CCO Enforcement Framework
Responding to a “concern” from Chief Compliance Officers (CCOs) to the purported increase in enforcement actions holding compliance personnel personally liable, the New York City Bar Association recently released a framework of nonbinding factors it believes the SEC should consider when making CCO charging decisions.
🔒 Members Only · Compliance & Enforcement BriefYou’ve reached the member portion of this brief.Members read the full analysis and the source documents in every Brief, six days a week.