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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 fines chief compliance officer for inaccurate securities filing

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?

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