Christina Chapin

Christina Chapin

Faegre Drinker Biddle & Reath LLP

Contact
View Bio
RSS

Latest Posts › Corporate Fines

Share:

CCO Barred for Altering Reports to Mislead SEC Staff

Recently, the U.S. Securities and Exchange Commission (the “SEC”) charged a dually registered firm and its Chief Compliance Officer (“CCO”) with multiple violations of the Investment Advisers Act of 1940 (“Advisers Act”). The...more

10/1/2020  /  Chief Compliance Officers , Corporate Fines , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Investment Advisers Act of 1940 , Policies and Procedures , Securities and Exchange Commission (SEC)
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide