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The BD/IA Regulator Providing securities regulatory, enforcement and litigation trends for broker-dealers, investment advisers and investment funds

IAWatch Webinar – CCO Liability: What Risks Remain and What You Can Do to Minimize Them

Posted in Events, SEC Enforcement

Tuesday, July 25, 2017
2:00 p.m. – 3:00 p.m. EDT

Some signs from the SEC suggest compliance officers now have less to worry about in terms of being named in an enforcement action than they have had for years. But others warn the threat of CCOs being named in enforcement actions hasn’t disappeared. Where do things stand, and what does it all mean for you?

Of Counsel Kelley Howes will participate in this IAWatch webinar which will examine key SEC cases targeting CCOs and take the current temperature regarding your risks. Topics will include:

  • Key takeaways for CCOs from two prominent SEC enforcement cases;
  • An assessment of the current threat environment and whether it’s changing;
  • Insights into what the SEC expects of compliance officers;
  • Do’s and don’ts for CCOs – protect yourself by knowing the legal boundaries; and
  • Timeless tips that can mitigate your risks.

For more information, or to register, please click here.