‘Enforcement 40’ for 2020
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By Securities Docket on August 27, 2015, 9:19 am
Now, in a letter delivered to the SEC’s Director of Enforcement Andrew Ceresney, copied to sitting commissioners, the National Society of Compliance Professionals, a trade group for compliance professionals, is seeking assurances that only intentional and reckless behavior is grounds for action against a CCO. via Trade Group Suggests Guidelines for CCO Enforcement Actions | […]