Posts tagged CCO.
Blogs
6 minute read
Over the past 15 years, chief compliance officers (“CCOs”) for financial services firms have come under increased scrutiny as the Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) have brought more frequent enforcement actions seeking to hold CCOs personally liable. CCOs understandably have been concerned about this trend and financial service firms have focused on the chilling effect that the enforcement actions may have on the vital role CCOs play in their organizations and the quality of the COO applicant pool.
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Recent Updates
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- “Claims” Under the FCA, §1983 Claim Denials on Failure-to-Exhaust Grounds, and Limits to FSIA’s Expropriation Exception - SCOTUS Today
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- A Ticking Time Bomb—Universal Injunctive Relief at Risk - SCOTUS Today
- CFPB’s Recent Rule Eliminates Medical Debt from Credit Reports