{"id":1082,"date":"2020-12-01T17:00:35","date_gmt":"2020-12-01T17:00:35","guid":{"rendered":"http:\/\/localhost\/?p=1082"},"modified":"2021-02-09T18:12:16","modified_gmt":"2021-02-09T18:12:16","slug":"appeals-court-disregards-finra-rule-in-cco-case","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2020\/12\/01\/appeals-court-disregards-finra-rule-in-cco-case\/","title":{"rendered":"Appeals Court Disregards FINRA Rule in CCO Case"},"content":{"rendered":"<p>In a recent review of a disciplinary action charging a chief compliance officer (CCO) with committing \u201cshould have known\u201d liability, the DC Circuit Court of Appeals, in a per curium opinion, ignored the FINRA rule that the CCO allegedly violated. The decision raises questions about how FINRA will charge firms and compliance officers for &#8220;should have known&#8221;\u00a0violations.<\/p>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/NewsCommentary\/Articles\/237467\/Appeals-Court-Disregards-FINRA-Rule-in-CCO-Case?utm_source=vuture&amp;utm_medium=email&amp;utm_campaign=vuture-emails\">Read More Here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>In a recent review of a disciplinary action charging a chief compliance officer (CCO) with committing \u201cshould have known\u201d liability, the DC Circuit Court of Appeals, in a per curium opinion, ignored the FINRA rule that the CCO allegedly violated. The decision raises questions about how FINRA will charge firms and compliance officers for &#8220;should &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2020\/12\/01\/appeals-court-disregards-finra-rule-in-cco-case\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Appeals Court Disregards FINRA Rule in CCO Case<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,22],"tags":[],"class_list":["post-1082","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1082","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1082"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1082\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1082"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1082"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1082"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}