Brian Daly, partner with Schulte Roth & Zabel.
In one case, the compliance officer didn’t do anything, including not implementing a compliance program; while in the second, the compliance officer was accused of actually taking part in the fraud.
September 25, 2019 at 05:42 PM
1 minute read
senior reporter
The original version of this story was published on Corporate Counsel
In enforcement actions that point to the increased scrutiny on chief compliance officers, regulators have gone after two officers in very different cases involving investment fraud.
In one case, the compliance officer didn’t do anything, including not implementing a compliance program; while in the second, the compliance officer was accused of actually taking part in the fraud.
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