The SEC and your clients
The U.S. Securities and Exchange Commission isn’t out to get chief compliance officers (CCOs): That’s the gist of a speech that a top agency official gave recently to a group of compliance professionals.
Short reports: The SEC and general counsel; AIG to help companies slash outside legal spending; how to deal with regulators.
November 30, 2015 at 12:00 AM
1 minute read
The SEC and your clients
The U.S. Securities and Exchange Commission isn’t out to get chief compliance officers (CCOs): That’s the gist of a speech that a top agency official gave recently to a group of compliance professionals.
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