feed

Article: SEC To CEOs: Keep Track of Chief Compliance Officers

03 December 2018 | FinOps Report Feed
 

Chief compliance officers at US broker-dealers had better get used to answering a lot more questions from their chief executive officers about how well they are doing their jobs. The US Securities and Exchange Commission has just sent brokerage CEOs a subtle warning: we could hold you legally liable for failing to supervise your chief […]

Category: