Articles

John Carney, Bari Nadworny Article Discusses Steps Compliance Pros Can Take

Articles / December 10, 2020

Partner John Carney and Associate Bari Nadworny authored an article published by Bloomberg Law on Dec. 10, 2020. The article, “SEC Advocates Drawing a Line on CCO Liability,” provides guidance on how corporate chief compliance officers can demonstrate good-faith and diligent efforts in the event that compliance failures occur. The article builds on recent remarks made by Securities and Exchange Commissioner Hester Peirce regarding the definition of personal liability for compliance officers.

Read the article (registration required).