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Tag: Sands Brothers

SEC Brings Charges Against CCO for Custody Failure

Doug Cornelius November 23, 2015September 6, 2017 CCO Liability, Custody   [+]

Last week at the Coping With Regulatory Failure conference, representatives from Securities and Exchange Commission repeated the SEC’s line that the SEC is not after compliance officers. But yet another case of CCO liability came out and this one kicks the CCO out of the industry and levels a $60,000 fine. The SEC panelists repeated … Read more »

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