Recent SEC Charges Suggest CCOs Have Target on Their Backs

– The SEC’s prosecution of chief compliance officers remains a fraught and controversial topic. A recent announcement of an enforced settlement with a financial advising firm and its CCO could raise even more questions about the role of CCOs and what standards the SEC uses in sanctioning them. Two Eversheds Sutherland partners give us a close read of the SEC’s order in the case and discuss the questions it raises. CCOs have long felt under siege. In fact, according to industry-wide surveys …

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