Steven Kaufmann

Steven Kaufmann

Morrison & Foerster LLP

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Compliance Overseers Under Financial Regulatory Fire

In the wake of the financial crisis, federal and state regulators are increasingly taking action against individuals for alleged compliance lapses inside financial services companies, and recent reports indicate that...more

5/14/2014  /  Chief Compliance Officers , Compliance , Enforcement Actions , Financial Regulatory Reform , Personal Liability

Financial Regulatory Enforcers Expanding Claims Against Individuals

In the wake of the financial crisis, federal and state regulators are increasingly taking action against individuals for alleged compliance lapses inside financial services companies, and recent reports indicate that...more

5/1/2014  /  Chief Compliance Officers , Compliance , Corporate Officers , Enforcement , Enforcement Actions , Personal Liability
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