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
Judge reinstates fired CPSC commissioners in latest battle over government cuts

2025-06-25T16:29:00Z By Oscar Gonzalez

In May, three commissioners for the Consumer Product Safety Commission were abruptly fired by President Donald Trump and sued for their jobs shortly after. A federal judge has ruled that the commissioners should be reinstated, although it’s unclear whether that ruling may itself be reversed.