The Importance of Performing a Risk Assessment

July 2014

 

Regulatory Efforts Focus on Registrant’s Risk Assessments

In May 2014, Andrew Ceresney, the Securities and Exchange Commission's ("SEC") Director of
the Division of Enforcement, spoke about using his current role to "promote a strong,
empowered legal and compliance presence at firms." 1 In his speech, he emphasized, "[those]
companies that have done well in avoiding significant regulatory issues typically have prioritized
legal and compliance issues, and developed a strong culture of compliance across their business
lines and throughout the management chain."

 

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