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Chairman Cox Addresses CCOutreach National Seminar
November 14, 2008
Yesterday, Chairman Christopher Cox addressed CCOs and compliance professionals at the latest in the SEC's series CCOutreach meetings. In his address, he reiterated the Commission's concern that firms may seek to cut costs by cutting compliance personnel and resources, and added a dire warning.… read more
OCIE’s Director Speaks about Compliance Incentives
November 04, 2008
On Thursday, October 30, Lori Richards, Director of the SEC's Office of Compliance Inspections and Examinations, addressed the 2008 Willamette Securities Regulation Conference about ways to foster, and create incentives for, strong compliance. Richards started off the substance of her address by listing three conditions… read more