Patrick Campbell, Jonathan New Review Regulatory Scrutiny of Compliance Officers

Articles / April 13, 2018

Partners Patrick Campbell and Jonathan New a two-part series of article published March 1, 2018, and April 1, 2018, by Business Crimes Bulletin. The first article in a two-part series, is “Compliance Officers: Law Enforcement Partners or Targets?” It discusses several actions brought in 2017 against corporate compliance officers by U.S. regulators based on their failures to ensure that their companies maintained effective compliance and anti-money laundering programs. Part Two, “Compliance Officers and Law Enforcement: Friends or Foes?” discusses reasons why regulators are likely to continue focusing on compliance officers in 2018 and steps compliance officers can take to mitigate their personal liability risk.

Read the article.

Read the second article.