Regulators Increasingly Targeting Chief Compliance Officers

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

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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
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Arizona couple pleads guilty in vast $1.2B skin graft false claims case

2025-02-05T14:22:00Z By Adrianne Appel

Two owner-operators of three Arizona medical companies have pleaded guilty to billing more than $1.2 billion in false and fraudulent claims to Medicare and other government health programs in less than two years, the Department of Justice said.