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The head of enforcement at the Securities and Exchange Commission (SEC) outlined the scenarios in which the agency would charge a chief compliance officer for securities law violations.
Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass. Email: aaron.nicodemus@complianceweek.com LinkedIn:... More by Aaron Nicodemus
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