Recent comments by Securities and Exchange Commission (SEC) Commissioner Daniel Gallagher were noteworthy for both their candor and the subject he raised.
Behind the SEC's Recent Crackdown on Compliance Officials
On June 18, 2015, SEC Commissioner Daniel Gallagher wrote in a statement placed on the SEC website that the SEC was sending a "troubling message": Chief compliance officers (CCOs) should not take ownership of their firms' compliance policies and procedures, lest they be held accountable for conduct that is not really their responsibility.
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H. David KotzThis premium content is locked for Business Crimes Bulletin subscribers only
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