Supervisory Failure is Behind Most Regulator Actions Against CCOs

Finra barred one CCO for two years for alleged failures to keep up-to-date written procedures to adequately supervise a registered representative the industry’s self-regulator had placed on restriction following sales mishaps, according to the publi


Barclays fined $15m over whistleblowing scandal

DFS Investigation Found Shortcomings in Barclays’ Governance, Controls and Corporate Culture Relating to the Bank’s Whistleblowing Function After CEO Personally Sought to Identify Whistleblowers