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Chief Compliance Officers › Neither Admit Nor Deny Settlements

Buchalter

DOJ Indicates That in DOJ Settlements, Chief Compliance Officers Will Be Required to Provide a Certification, Suggests Specific...

Buchalter on

According to statements by a Department of Justice official, corporate Chief Compliance Officers will in the future have to take a more exposed position by providing certifications in settlements with DOJ. Further,...more

Stinson - Corporate & Securities Law Blog

SEC Charges Investment Adviser for Misleading Performance Advertising

Stinson - Corporate & Securities Law Blog on

In a settled action, the SEC charged an investment adviser for false advertising and its chief compliance officer on related matters. The defendants did not admit or deny the charges....more

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