By
Jeff Dale2022-06-03T13:56:00
Jennifer Campbell, a former chief compliance officer at an unnamed investment adviser in Buffalo, N.Y., faces criminal and civil charges for allegedly misappropriating approximately $500,000 in funds from client accounts.
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2022-11-15T16:36:00Z By Kyle Brasseur
Jennifer Campbell, the former chief compliance officer of a New York-based investment adviser, faces up to 20 years in prison and a $250,000 fine after pleading guilty to wire fraud in federal court.
2022-07-05T17:41:00Z By Kyle Brasseur
What would it look like if the SEC adopted a chief compliance officer liability framework? Commissioner Hester Peirce offered a preview in a statement regarding an enforcement action against the CCO of a formerly registered investment adviser.
2026-02-06T15:34:00Z By Tom Fox
When a company rapidly adopts AI, compliance officers can be blindsided, tasked with governance almost immediately. Luckily, there is a guide from the U.S. Department of Justice to help.
2026-02-05T00:55:00Z By Ruth Prickett
Major accountancy firms in France are under investigation for anti-competitive practices. The French competition watchdog embarked on a series of “unannounced inspections” and removed documents relating to audit and reporting on Jan. 13.
2026-02-03T23:22:00Z By Neil Hodge
The European Commission has launched a formal investigation against Elon Musk’s X under the Digital Services Act over fears that its AI tool Grok may be producing and disseminating illegal material.
2026-02-03T22:57:00Z By Adrianne Appel
Three former executives at Archer-Daniels-Midland intentionally misled investors by inflating the performance of the company’s Nutrition unit, the U.S. Securities and Exchange Commission has alleged.
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