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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