A new report from the New York City Bar Association on the increased number of enforcement actions against individual chief compliance officers was sparked by the growing concerns of in-house counsel.
The report, “Chief Compliance Officer Liability in the Financial Sector,” is a product of the bar’s compliance committee. Patrick Campbell, chair of the committee, said while he is an outside counsel, most of the committee is made up of in-house lawyers who seek more guidance and communication from regulators.
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