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Creating chief compliance officer positions only on paper—what we will call “ghost CCOs”—can cause firms to overlook security law violations and draw harsher penalties if the Securities and Exchange Commission (SEC) establishes wrongdoing.
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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