Two recent enforcement actions by the U.S. Securities and Exchange Commission (SEC) have drawn renewed attention to the personal liability risks faced by Chief Compliance Officers (CCOs). In both cases, the SEC charged individual CCOs with altering or fabricating compliance documents and then misrepresenting those records during regulatory examinations. While the original SEC orders were […]

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Rebecca Kappel

Source: Security Boulevard
Source Link: https://securityboulevard.com/2025/08/sec-cites-falsified-records-in-two-recent-settlements-with-chief-compliance-officers/?utm_source=rss&utm_medium=rss&utm_campaign=sec-cites-falsified-records-in-two-recent-settlements-with-chief-compliance-officers