Regulators Increasingly Targeting Chief Compliance Officers

By Jaclyn Jaeger2014-05-13T00:00:00

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Article
Advisers Still Feel Unease Over CCO Liability Risk

2015-06-30T10:45:00Z By Jaclyn Jaeger

Image: The conversation about personal liability for compliance officers is buzzing again, thanks to a hornet’s nest SEC Commissioner Daniel Gallagher stirred up with a complaint about recent sanctions against two CCOs. “We’re hearing similar concerns among CCOs at investment adviser firms—and not just from CCOs, but also from senior ...
Article
SEC Officials Emphasize Compliance's Importance, Accountability

2014-05-28T00:00:00Z By Jaclyn Jaeger
News Brief
OCC hits USAA with third order in five years; places limits on new services, products, membership

2024-12-20T17:39:00Z By Aaron Nicodemus

USAA Federal Savings Bank has been hit with its third cease and desist order from the Treasury Department’s Office of the Comptroller of the Currency in the past five years for failing to correct unsafe and unsound banking practices.