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Chief Compliance Officers › Misrepresentation

NAVEX

Misinformation, Misrepresentation and Miscalculations: The True Cost of Misguided Academic Field Research (Hoax Reports) on...

NAVEX on

By the summer of 2021, compliance officers had spent nearly a year and a half helping their organizations navigate the challenges of COVID-19, as well as the new or heightened risks associated with remote work and enhanced...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending June 13, 2014)

Dorsey & Whitney LLP on

The Commission failed to prove its insider trading claims to the satisfaction of a jury for the second week in a row. This time a Los Angeles jury rejected claims of the agency against a corporate executive that were tied to...more

Broker-Dealer Compliance + Regulation

Giving the CCO Teeth: SEC Sanctions Portfolio Manager for Misleading CCO

Broker-Dealer Compliance + Regulation on

The SEC brought its first action for misleading and obstructing the work of a CCO this week, finding that a portfolio manager deliberately altered documents and misled the firm’s CCO in an attempt to hide violations of the...more

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