Daily Archives: September 22, 2015, 7:52 am

Compliance officer fines spur debate over U.S. SEC tactic | Reuters

Now, a group representing financial services industry compliance professionals is demanding clarity. The National Society of Compliance Professionals (NSCP) wants the SEC to set guidelines for its enforcement staff, a step that could curb punishing compliance officers for problems they cannot control, the NSCP says. via Compliance officer fines spur debate over U.S. SEC tactic | Reuters

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