Zealous SEC enforcement 'exhausting' compliance teams
Compliance officers are increasingly being held personally responsible for failures at their companies, warns Peter Bresnan, a former deputy head of the SEC's enforcement division
The US Securities and Exchange Commission's aggressive approach to enforcement is putting unprecedented pressure on compliance officers, a former executive at the regulator warned this week.
Peter Bresnan, a litigation partner at Simpson Thacher & Bartlett and former deputy director of the division of enforcement at the SEC, argued that compliance officers and other employees were facing a much
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