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Richard L. Cassin Publisher and Editor

Andy Spalding Senior Editor

Jessica Tillipman Senior Editor

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

Bill Steinman Contributing Editor

Aarti Maharaj Contributing Editor


FCPA Blog Daily News

Entries in failure to supervise (2)

Tuesday
Jun172014

SEC sanctions chief compliance officer for failing to stop insider-trading scheme

The SEC sanctioned the former president and chief compliance officer of Private Capital Management Inc. for failing to stop an insider-trading scheme involving an employee at his firm.

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Thursday
May152014

SEC commissioner calls Dodd-Frank the 'lawyers full employment act'

Daniel M. Gallagher began his commissioner's term in November 2011SEC Commissioner Daniel M. Gallagher talked Monday about the expanded role of compliance professionals in the securities industry.

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