The SEC FINRA Monitor: October 2011

Friday, October 7, 2011

Study reminds CCOs they risk permanently tattooing their reputations for violations........

A study recently released by the law firm Sutherland Asbill & Brennan, covering the period November 2010 through June 2011, found the SEC and FINRA bringing disciplinary actions against Chief Compliance Officers for conduct ranging from failure to supervise registered representatives to failure to supervise anti-money-laundering. See more....

http://www.sutherland.com/files/Publication/62408b34-1db6-40b1-a1f8-8bd5fc7e998e/Presentation/PublicationAttachment/61491b0d-d831-4c08-85b8-8c5b19050356/TheGirlwiththeSEC-FINRATattoo.pdf

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The SEC FINRA Monitor

Friday, October 7, 2011

Study: Recent Disciplinary Actions Against Chief Compliance Officers

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