Christina Chapin

Christina Chapin

Faegre Drinker Biddle & Reath LLP

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Latest Posts › Financial Industry Regulatory Authority (FINRA)

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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)
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