Daily Archives: November 6, 2015

SEC Will Prosecute CCOs that Cross a “Clear Line”

Repost from¬†Cipperman Compliance Services, LLC At a recent compliance conference, the SEC’s Director of the Division of Enforcement Andrew Ceresney said that the SEC will bring actions against Chief Compliance Officers who cross a “clear line.”¬† Mr. Ceresney said, “Being … Continue reading

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