Try our Advanced Search for more refined results

Expert Analysis

SEC's Friendly Fire Against CCOs — And How To Avoid It

Law360, New York (August 10, 2015, 10:31 AM EDT) -- The U.S. Securities and Exchange Commission has long recognized that chief compliance officers and other legal and compliance personnel serve the public interest as the first line of defense against misconduct. Recently, the agency brought two separate settled enforcement actions against CCOs of investment advisory firms for allegedly being "a cause" of their respective firm's compliance failure. In doing so, the SEC charged these CCOs for what it viewed to be mere negligence on the part of the CCOs in performing their purely compliance functions....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Related Sections

Law Firms

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!