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Settlement Sends Message that BD CEOs Can be Sanctioned if they Overload Part-time CCOs

February 6, 2012

In a recent BD Week article, Sutherland Partner John H. Walsh comments on a recent FINRA settlement that sanctioned a company for supervisory failures related to overloading a part-time CCO. In the article, "Settlement sends message that BD CEOs can be sanctioned if they overload part-time CCOs," John states that the failure to fund and support compliance is a management problem, not just a compliance problem.

To read the article in full, click here.

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Adam C. Pollet, Associate
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