Jesse Kanach

Jesse Kanach

Perkins Coie

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Preparing for the SEC’s Increased Pursuit of Compliance Officers

The SEC’s recent aggressive enforcement posture against chief compliance officers has raised many concerns, including whether the SEC’s actions are actually chilling robust compliance efforts. To protect themselves against...more

3/8/2016  /  Administrative Law Judge (ALJ) , Broker-Dealer , Chief Compliance Officers , Corporate Counsel , Enforcement Actions , Investment Adviser , Risk Management , Securities and Exchange Commission (SEC) , Securities Violations , Young Lawyers
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