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News November 9, 2015 Issue

Ceresney Tells Chief Compliance Officers that the SEC is Not Out to Get Them

It’s all overblown. You have nothing to worry about. Charges against chief compliance officers for not doing their job properly are rare. One might be excused for taking that as the message behind SEC Division of Enforcement director Andrew Ceresney’s November 4 keynote address at the 2015 National Society of Compliance Professionals conference near Washington, DC.

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