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Article
CCOs in the Cross-Hairs: Recent Developments in the Regulation of Financial Industry Chief Compliance Officers
Securities Regulation Law Journal (2017)
  • Barry R. Temkin
  • Michelle Atlas, Geneos Wealth Management, Inc.
Abstract
Following the financial crisis of 2008, the role of Chief Compliance Officer for financial institutions has been redefined, most notably by the Dodd Frank Wall Street Reform and Consumer Protection Act of 2010.  A review of recent regulatory enforcement actions reveals a trend of increased scrutiny of Chief Compliance Officers of futures commission merchants, investment advisors, broker-dealers, and other financial services entities. 
Keywords
  • Compliance,
  • securities
Disciplines
Publication Date
Summer 2017
Citation Information
Barry R. Temkin and Michelle Atlas. "CCOs in the Cross-Hairs: Recent Developments in the Regulation of Financial Industry Chief Compliance Officers" Securities Regulation Law Journal Vol. 45 Iss. 2 (2017)
Available at: http://works.bepress.com/barry_temkin/49/