Compliance Officers: Recent Regulatory Guidance and Enforcement Actions and Mitigating the Risk of Personal Liability

This article explores legal developments over the past year that may impact compliance officer personal liability.

12 minute read August 01, 2019 at 12:57 AM

Patrick Campbell, Jonathan New and

Madison Gaudreau

Compliance Officers: Recent Regulatory Guidance and Enforcement Actions and Mitigating the Risk of Personal Liability

On July 18, 2019, a federal grand jury in Cincinnati indicted the former compliance officer of a pharmaceutical distributor, James Barclay, the pharmaceutical distributor, and others with conspiring to illegally distribute controlled substances.

This premium content is locked for Business Crimes Bulletin subscribers only

ENJOY UNLIMITED ACCESS TO THE SINGLE SOURCE OF OBJECTIVE LEGAL ANALYSIS, PRACTICAL INSIGHTS, AND NEWS IN Business Crimes Bulletin

Stay current on the latest information, rulings, regulations, and trends
Includes practical, must-have information on copyrights, royalties, AI, and more
Tap into expert guidance from top entertainment lawyers and experts

Subscribe Now

Already have an account? Sign In Now

For enterprise-wide or corporate access, please contact Customer Service at [email protected] or call 1-877-256-2473.

NOT FOR REPRINT

Continue Reading

Is Your Law Firm’s AI Ready for Answer Engines and Clients?

AI claims are getting more scrutiny and regulators are looking more closely at whether organizations can substantiate what they say their AI does, while courts are beginning to address what happens when AI-generated search summaries get information wrong.

November 01, 2026

Lawsuit Over Carl Sagan’s “Iconic” Saying Evokes Right of Publicity Issues That Are Becoming Common Amid AI Boom

A recent lawsuit claims that an “iconic” saying about the universe and apple pie is as strongly linked with astronomer Carl Sagan as the act of turning letters in a gown is with Wheel of Fortune co-host Vanna White.

November 01, 2026

When AI Agents Trigger a Crisis, Part 2: Before the Agent Acts

This is the second in a two-part series on AI-driven crises. Part 1 examined communications during an incident while the facts are still developing. Part 2 addresses crisis plans, governance and tabletop exercises before an agent acts on behalf of the business.

November 01, 2026

Who Owns the Code? Closing IP and Founder Equity Gaps Before Venture Diligence Finds Them

This article walks through where intellectual property ownership gaps come from, how they surface in diligence and why they are so often tied to the way founder equity is structured.

November 01, 2026

Advertise with Us Customer Support Terms of Service