Lessons From SEC Focus On Compliance Officers

Law360, New York (August 18, 2014, 10:19 AM EDT) -- In a May 20, 2014, speech, U.S. Securities and Exchange Commission Director of Enforcement Andrew Ceresney outlined the circumstances in which the SEC will seek sanctions against compliance personnel. Two recent SEC proceedings illustrate the points made by Ceresney and the continued focus of enforcement on the duties and potential liability of compliance officers.

Ceresney Speech

SEC Director of Enforcement Andrew Ceresney delivered the keynote address at Compliance Week 2014. Ceresney’s speech contained a detailed discussion of the SEC’s position on the duties of compliance personnel, as well as the types of situations where the SEC will seek to penalize compliance...

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