- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2015-05-13T12:30:00
Compliance officers have two fears on their minds these days: increased regulatory fatigue and overload; and the threat of increasing personal liability for corporate misconduct. More than one-third of all firms already spend at least one day every week simply tracking and analyzing regulatory developments, according to Thomson Reuters’ annual ...
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2016-09-27T22:45:00Z By Jaclyn Jaeger
Jaclyn Jaeger looks at yet another case brought by the SEC spotlighting the sort of conduct that can result in a personal liability claim against legal and compliance officers.
2016-05-17T19:45:00Z By Jaclyn Jaeger
The threat of increasing personal liability has compliance officers on the defensive, especially in light of the newly established compliance counsel role within the Department of Justice’s Fraud Section. Jaclyn Jaeger looks into how CCOs are dealing with this intensified level of direct scrutiny on their performance.
2015-05-27T16:45:00Z By Jaclyn Jaeger
A compliance mishap in a company can feel like a professional failure to chief compliance officers; a more urgent question is whether it might also bring professional liability. At Compliance Week 2015, enforcement officials with the SEC and Justice Department, as well as compliance professionals themselves, explored how CCOs can ...
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