Regulators Increasingly Targeting Chief Compliance Officers

By Jaclyn Jaeger2014-05-13T00:00:00

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Article
Advisers Still Feel Unease Over CCO Liability Risk

2015-06-30T10:45:00Z By Jaclyn Jaeger

Image: The conversation about personal liability for compliance officers is buzzing again, thanks to a hornet’s nest SEC Commissioner Daniel Gallagher stirred up with a complaint about recent sanctions against two CCOs. “We’re hearing similar concerns among CCOs at investment adviser firms—and not just from CCOs, but also from senior ...
Article
SEC Officials Emphasize Compliance's Importance, Accountability

2014-05-28T00:00:00Z By Jaclyn Jaeger
News Brief
FRC fines PwC, auditor combined $4.1M over 2019 work of Wyelands Bank

2025-03-27T13:11:00Z By Jeff Dale

The U.K. Financial Reporting Council issued penalties against PwC and a former auditor over deficiencies on work related to the 2019 financial statements of now shuttered Wyelands Bank.