Compliance Officers: Law Enforcement Partners or Targets?

<b><i>Part One of a Two-Part Article</b></i><p>Part One of this article examines key actions brought by U.S. regulators against compliance officers in 2017 based on their failures to ensure that their firms maintain effective compliance and AML programs.

10 minute readMarch 01, 2018 at 12:06 AM
By
Jonathan B. New
Patrick T. Campbell
Compliance Officers: Law Enforcement Partners or Targets?

In May 2014, Andrew Ceresney, then-Director of Enforcement of the U.S. Securities and Exchange Commission (SEC), in his keynote address at Compliance Week 2014, stated, “ …. legal and compliance

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