Search

Editors

Richard L. Cassin Publisher and Editor

Andy Spalding Senior Editor

Jessica Tillipman Senior Editor

Elizabeth K. Spahn Editor Emeritus

Cody Worthington Contributing Editor

Julie DiMauro Contributing Editor

Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

Russell A. Stamets Contributing Editor

Richard Bistrong Contributing Editor 

Eric Carlson Contributing Editor

Bill Steinman Contributing Editor

Aarti Maharaj Contributing Editor


Connect
FCPA Blog Daily News

Entries in Business Conduct Standards (1)

Monday
Apr252016

SEC imposes duties, certification requirement on Chief Compliance Officers for swap dealers

The Securities and Exchange Commission adopted a final rule this month requiring swap dealers to appoint chief compliance officers to run the compliance program and report to the board or the CEO.

Click to read more ...