CCO

"The SEC’s Private Equity Enforcement Concerns"

On January 23, 2013, Bruce Karpati, Chief of the Asset Management Unit (the “AMU”) of the Enforcement Division of the Securities and Exchange Commission, addressed the Private Equity International Conference in New York. Mr....more

Leadership Lessons for the Compliance Practitioner from Abraham Lincoln

The recent film about Abraham Lincoln has focused the nation’s attention once again on the President that many believe was our greatest President. In a recent article in the New York Times (NYT), entitled “Lincoln’s School of...more

Leadership in the Compliance Function – Do You Encourage or Stifle?

There are many ways for a Chief Compliance Officer (CCO) to exercise leadership in not only the compliance function but also across the many disciplines in which compliance impacts in any corporation. In this Sunday’s New...more