{"id":1281,"date":"2022-07-15T15:09:18","date_gmt":"2022-07-15T15:09:18","guid":{"rendered":"http:\/\/localhost\/?p=1281"},"modified":"2022-09-02T00:35:25","modified_gmt":"2022-09-02T00:35:25","slug":"recent-sec-settlement-suggests-ccos-have-target-on-their-backs","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2022\/07\/15\/recent-sec-settlement-suggests-ccos-have-target-on-their-backs\/","title":{"rendered":"Recent SEC Settlement Suggests CCOs Have Target on Their Backs"},"content":{"rendered":"<p>From\u00a0<a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Brian-L-Rubin\">Brian Rubin<\/a>\u00a0and <a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Adam-C-Pollet?utm_source=vuture&amp;utm_medium=email&amp;utm_campaign=vuture-emails\">Adam Pollet<\/a> in\u00a0<em>Corporate Compliance Insights<\/em>:<\/p>\n<p>The SEC\u2019s prosecution of chief compliance officers remains a fraught and controversial topic. A recent SEC enforcement settlement with a CCO and a registered investment adviser could raise even more questions about the role of CCOs and what standards the SEC uses in sanctioning them.<\/p>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/portalresource\/lookup\/poid\/Z1tOl9NPluKPtDNIqLMRV56Pab6TfzcRXncKbDtRr9tObDdEraJDqO3!\/fileUpload.name=\/Eversheds%20Sutherland%20CCO%20enforcement%20reprint_fv2.pdf\">Read why here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>From\u00a0Brian Rubin\u00a0and Adam Pollet in\u00a0Corporate Compliance Insights: The SEC\u2019s prosecution of chief compliance officers remains a fraught and controversial topic. A recent SEC enforcement settlement with a CCO and a registered investment adviser could raise even more questions about the role of CCOs and what standards the SEC uses in sanctioning them. Read why here.<\/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-1281","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\/1281","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=1281"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1281\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1281"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1281"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1281"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}