Posts tagged broker-dealer compliance.
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SEC Enforcement Actions Against IA CCO's: Aguilar & White Respond to Gallagher
In mid-June, SEC Commissioner Gallagher issued a strongly-worded public dissent from two enforcement actions against investment-adviser CCOs, accusing the Commission of "cutting off its nose to spite its face" by punishing CCOs upon whom regulators depend to help ensure legal and regulatory compliance. Our blog post covering the remarks is here. Commissioner Aguilar responded June 29 to Gallagher's remarks, "concerned [they] may have unnecessarily created an environment of unwarranted fear in the CCO community," and calling it "unhelpful." Aguilar cited agency ...
Posted in: SEC
Tags: broker-dealer compliance, burr forman, CCOs, Chair White, Commissioner Aguilar, SEC, SEC Commissioner Gallagher, Securities Litigation & Arbitration
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