Compliance Solutions for Investment Advisers

Compliance Pros Acting Lawfully Should Not Fear Enforcement

SEC Chair Mary Jo White – who seems to speaking everywhere these days – assured compliance officers that if they act “within the law” they should not fear enforcement action.

“Although we occasionally bring enforcement actions against compliance personnel, compliance officers who perform their responsibilities diligently, in good faith, and in compliance with the law are our partners and need not fear enforcement action.”

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