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Compliance Now More Than Ever
“In a profit- and loss-driven world, there is always a risk that companies facing an uncertain economic future may choose to cut compliance expenses,” SEC Chairman Christopher Cox noted last November at the SEC's Compliance Officer Outreach National Seminar. Then he issued a stern warning: “When a company cuts compliance, violations will occur. And if violations occur, punitive actions should and will be taken.”
Lori Richards, Director of the SEC Office of Compliance, Inspections and Examinations, re-emphasized the point in a December 2008 open letter to the CEOs of SEC-registered firms: “Firms must be vigilant and proactive in preventing, detecting and correcting problems that could occur. Providing adequate resources ' and ensuring that ' compliance personnel are integrated into the activities of the firm are essential to that process.”
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