The SEC has compliance officers in their sights, but by dismissing a recent case against one of them, the commission failed to give clear instructions on the scope of their responsibilities….
“Compliance programs are front and center for us,” Bruce Karpati, co-chief of the Asset Management Unit in the SEC’s Division of Enforcement, said at a compliance seminar last week. “There’s going to be more soon on that in terms of enforcement actions.”
‘Enforcement 40’ for 2020
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