Although 2017 has barely begun, the Securities and Exchange Commission (SEC) has continued to aggressively pursue enforcement actions against companies for whistleblower-related violations. As part of its initiative, the SEC...more
Investment Adviser Chief Compliance Officer Blamed in SEC Lawsuit for President’s Theft of Client Funds; SEC Commissioner Criticizes Enforcement Actions Against CCOs Generally -
The Securities and Exchange Commission...more
6/23/2015
/ BlackRock ,
CEOs ,
CFTC ,
Chief Compliance Officers ,
Commodities ,
Corporate Officers ,
Enforcement Actions ,
European Securities and Markets Authority (ESMA) ,
Fraud ,
Futures ,
Investment Adviser ,
IOSCO ,
Material Misstatements ,
Misappropriation ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Underwriting