Regulators Renew Focus on Individual Liability for Gatekeepers

A rising tide of regulation is headed for corporate compliance officers and in-house lawyers. Corporate accountability is a key priority for the DOJ and SEC, and both agencies have renewed their focus on individual liability for gatekeepers, including lawyers, accountants, underwriters and auditors.

7 minute read December 01, 2022 at 12:07 AM
By
Robert Stern and Sarah Coyne
Regulators Renew Focus on Individual Liability for Gatekeepers

History shows that following periods of upheaval there is an increase in fraud-related investigations and enforcement. 2022 has certainly had its share of turmoil: global volatility compounded by the toll of the war in Ukraine and follow-on effects from the pandemic have given corporate compliance officers and in-house lawyers new challenges to confront.

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