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News May 13, 2019 Issue

OCIE Director: CCOs Not Ultimately Responsible for Success of Compliance Programs

Itís the reassurance that many chief compliance officers want to hear. While SEC officials have provided that reassurance before, they really canít go overboard in confirming the following: CCOs, while key professionals for compliance success, do not bear the ultimate responsibility if a compliance program fails. Many will be pleased to know that a top SEC official recently reinforced this message.

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