Definitely a great read on a Saturday from James Dempsey, with Part 2 of his 3 part series on cybersecurity enforcement. Cyber enforcement that one can say is out of the starting gates and heading towards completing its first furlong…
An important read for corporate compliance, reaffirming the oversight that U.S regulators are adopting over corporate compliance programs and compliance officers. As the Commodities Futures Trading Commission (CTFC) moves to raise charges against the former Chief Compliance Officer of the…
Thanks for posting Ted Dziekanowski The DoJ is moving ahead with its program requiring CEOs and Compliance Officers to attest the effectiveness of their corporate compliance. Applying it earlier this year in the Glencore resolution. With the amount of cybersecurity…
This is an important read. Comments by Commissionaire Hester Peirce of the Securities and Exchange commission (SEC) on the charges bought by them against the Chief Compliance Officer (CCO and Principle) of Hamilton Investment Counsel Jeffrey Kirkpatrick. The settle administrative…
