White: SEC Enforcement Not Targeting Compliance Professionals
Image: The message from SEC Chairman Mary Jo White to compliance officers: They are not the target of enforcement efforts. Speaking to 1,000 compliance officers from financial services firms and broker-dealers at a Commission-sponsored forum, White said, “We do not bring cases based on second guessing compliance officers’ good faith ...
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Join a fireside chat with Kenneth Polite Jr., partner at the law firm Sidley, who served as the Assistant Attorney General for the Criminal Division of the United States Department of Justice (DOJ) from 2021-23.