Alarmingly, Chief Compliance and Legal Officers have become a target for recent regulatory actions. In numerous speeches, SEC commissioners and staff have tried to re-assure us that they do not have Compliance Officers in their cross-hairs, yet the impression still exists that we may have a target on our backs. If that’s true, and the SEC prosecutes actions and activities, and not specific persons or positions, what can compliance officers and legal officers do to avoid the types of actions and activities that may result in enforcement action?View this on-demand webinar to learn how to live and operate in a world of risk control and risk mitigation.Our Compliance experts are industry leaders. They have experienced your pain first hand and can offer effective ways to avoid unnecessary liability risk.
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