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Editors

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Harry Cassin
Publisher and Editor

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Andy Spalding
Senior Editor

Jessica Tillipman FCPA Blog

Jessica Tillipman
Senior Editor

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Bill Steinman
Senior Editor

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Richard L. Cassin
Editor at Large

Elizabeth K. Spahn

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington

Cody Worthington
Contributing Editor

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Julie DiMauro
Contributing Editor

Tom Fox

Thomas Fox
Contributing Editor

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Marc Alain Bohn
Contributing Editor

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Bill Waite
Contributing Editor

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Russell A. Stamets
Contributing Editor

Richard Bistrong FCPA Blog

Richard Bistrong
Contributing Editor

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Eric Carlson
Contributing Editor

Posts Tagged: Chief Compiance Officer

SEC fines chief compliance officer for inaccurate securities filing

Richard L. Cassin August 17, 2017

The Securities and Exchange Commission Tuesday fined a chief compliance officer for failing to verify information provided by an investment adviser that turned out to be false.

David I. Osunkwo was fined $30,000 and suspended for a year from certain jobs related the investment adviser and securities industry.… Continue Reading

Mini survey result: The buck stops where?

Mini Survey Result October 10, 2012

The question was: Who’s in charge of your organization’s compliance program?

About 62% said the Chief Compliance Officer.

Almost a quarter said the General Counsel.

The CEO was cited by 6% and the CFO by about 4%.… Continue Reading