• Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
Securities Docket
  • Class Actions
  • Criminal
  • Events
  • Features
  • Global
  • People
  • SEC
Browse: Home / 2012 / February / 28 / SEC’s Gallagher: Supervisor Definition Remains ‘Disturbingly Murky’

SEC’s Gallagher: Supervisor Definition Remains ‘Disturbingly Murky’

By Securities Docket on February 28, 2012, 1:03 pm

SEC Commissioner Daniel Gallagher said Friday that the question of what makes a legal or compliance officer a supervisor remains “disturbingly murky,” and signaled that he’d like the securities regulator to develop “clearer guidance” on the issue.

via SEC’s Gallagher: Supervisor Definition Remains ‘Disturbingly Murky’ — Advisor One

Posted in Industry, SEC, Top | Tagged Commissioners, Supervisors

« Previous Next »

Subscribe

‘Enforcement 40’ for 2020

The inside story behind the collapse of Queensland Nickel

Our Sponsors

Securities-Docket_260x125_14Sec

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2023 Securities Docket.

  • Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
  • Criminal
  • Class Actions
  • Features
  • Global
  • People
  • SEC
  • Events