Sean Coughlin

Sean Coughlin

Bressler, Amery & Ross, P.C.

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SEC Enforcement Chief Issues Reminder Concerning Compliance Officer Liability

On Oct. 24, 2023, Gurbir Grewal, the Director of the U.S. Securities and Exchange Commission’s (SEC) Enforcement Division, spoke to the NY Bar Association Compliance Institute about his views concerning faltering public trust...more

10/27/2023  /  Banking Sector , Chief Compliance Officers , Compliance , Financial Institutions , Financial Services Industry , Investment , Investment Firms , Securities and Exchange Commission (SEC) , Whistleblower Protection Policies
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