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Browse: Home / 2015 / June / 25 / SEC Actions Stir Concerns Over Compliance Officer Liability – Risk & Compliance – WSJ

SEC Actions Stir Concerns Over Compliance Officer Liability – Risk & Compliance – WSJ

By Securities Docket on June 25, 2015, 8:58 am

Two recent U.S. Securities and Exchange Commission enforcement actions have raised concerns that the agency will penalize compliance officers who create rigorous programs, leading to potentially perverse incentives to avoid responsibility for those programs.

via SEC Actions Stir Concerns Over Compliance Officer Liability – Risk & Compliance – WSJ

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Posted in Industry, SEC, Top | Tagged Compliance

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