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Expert Analysis

The Compliance Officer Sanctions Debate Heats Up

Law360, New York (August 18, 2015, 10:26 AM EDT) -- A U.S. Securities and Exchange Commission administrative law judge has joined the commissioners' public debate over the proper balance for enforcement sanctions against compliance officers. Recently, ALJ Cameron Elliott found that former Wells Fargo Advisors LLC compliance officer Judy Wolf had aided and abetted her firm's books-and-records violations, but declined to impose any sanctions and dismissed SEC enforcement's case....

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