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Editors

Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

Jessica Tillipman
Senior Editor

Bill Steinman
Senior Editor

Richard L. Cassin
Editor at Large

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

SEC: We protect compliance officers, except when we prosecute them

Andrew Ceresney, head of the SEC’s enforcement division, delivered the keynote last week to the National Society of Compliance Professionals at the group’s annual event in DC.

Ceresney said the outcome of SEC enforcement actions can often be predicted by how the defendant company treated its compliance officers.… Continue Reading

New on SEC agenda: protecting compliance officers

No one can say they haven’t been warned by the SEC (and the authors of the latest Hughes Hubbard FCPA/Anti-Bribery Alert) not to interfere with compliance officers.

Here’s an excerpt from the Alert about the new effort to protect compliance officers:

Recent statements and actions by the SEC demonstrate that the enforcement agency has adopted a broad strategy of seeking to protect and strengthen the position of compliance officers.… Continue Reading