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
SEC reportedly investigating MassMutual’s accounting amid ongoing government shutdown

2025-10-17T21:09:00Z By Oscar Gonzalez

Even though the U.S. federal government is currently shut down, the U.S. Securities and Exchange Commission appears to still be at work. The financial regulator is reportedly investigating a major insurance and asset management company over its accounting practices.