With failure, comes learning. As a compliance officer, disciplinary actions against other compliance officers can
be a road map showing me what not to do. Recently, the SEC charged affiliated
firms and their former chief compliance officer with failing to have adequate
policies and procedures to prevent...
Altering compliance records prior to their production for
an examination and inadequate procedures to control the flow of nonpublic
information became the predicate for sanctions against a broker dealer, an
investment adviser and the chief compliance officer of both. In the Matter of