Articles

Jonathan New, Patrick Campbell Article Discusses Personal Liability for Compliance Officers

Articles / August 12, 2019

Partners Jonathan New and Patrick Campbell, assisted by Summer Associate Madison Gaudreau, authored an article published in August 2019 by Law Journal Newsletters. The article, “Compliance Officers: Recent Regulatory Guidance and Enforcement Actions and Mitigating the Risk of Personal Liability,” explores legal developments over the past year that may impact compliance officer personal liability.

The article examines U.S. regulators’ emphasis on charging individuals in criminal and civil actions, recent enforcement actions against compliance officers for failure to maintain and implement adequate compliance programs and other conduct, and new regulations that may impose additional responsibilities and personal liability risk on compliance officers. The article also includes steps compliances officers can take to limit their personal liability exposure.

Read the article.

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