Drew P. Newman

Drew P. Newman

Moore & Van Allen PLLC

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Riding the Regulatory Enforcement Train: FINRA Issues Reminder on Supervisory Liability for Chief Compliance Officers

On March 17, 2022, FINRA issued Regulatory Notice 22-10 (“Notice”), which reminds FINRA member firms and their associated persons of the scope of supervisory liability for Chief Compliance Officers (“CCO”). The Notice...more

5/20/2022  /  Chief Compliance Officers , Compliance , Enforcement , Financial Industry Regulatory Authority (FINRA) , Liability , Policies and Procedures , Regulatory Oversight , Securities and Exchange Commission (SEC) , Supervision , Supervisory Guidance
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