- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Image: More shots fired this week in the continuing war of words at the SEC about whether the agency is unfairly taking enforcement action against chief compliance officers. This time, Commissioner Luis Aguilar defended the agency with a statement calling for the SEC to be more clear in its enforcement ...
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Caroline Pham, a commissioner at the Commodity Futures Trading Commission, said compliance officers have a lot to worry about if they or their firms are subject to CFTC enforcement during her fireside chat at CW’s Financial Crimes Summit.
Despite significant issues outside the control of most chief compliance officers, some regulators have signaled more individual liability cases are to be expected. Will accepting the wrong job, in hindsight, make it your last?
Caroline Pham of the Commodity Futures Trading Commission said she expects the regulator to pursue more individual liability cases against chief compliance officers, in the aftermath of landmark charges laid against the former CCO at Binance.
