SEC’s Schapiro: compliance professionals play ‘critical role’

Chairman of the US Securities and Exchange Commission (SEC) Mary Schapiro has reminded compliance officers of their “critical role” in protecting investors and ensuring the proper functioning of financial markets.
“As one of the first lines of defence against impropriety, your work reinforces our investor protection mission. In your role, you have the obligation to provide investors with an added measure of security above and beyond that which a regulator provides,” Schapiro said in a speech