Chief Compliance Officers Prepare for Closer SEC Scrutiny

It was said by some SEC officials that there has been no change in the way that the SEC officials see the chief compliance officers that work with the money management firms. However, the people coming from the CCO groups are starting to see some members start to have feelings of vulnerability and that most of them are trying to get prepared to face an onslaught of scrutiny and also some types of enforcement actions to be made in the year of 2016. 

If this were true, it could be the start of big changes for people that are institutional investor. These are actually the same people that the experts have been talking about needing better paying attention skills and also the same people that the experts believe need to be upping their game when it comes to due diligence. 

The biggest concern at hand is that there will be harm done to the reputations of many people. Another big fear with the situation at hand is that if there are more compliance professionals that go away there will be problems that might start to go unnoticed.

Helane Morrison

Helane Morrison is seen as one of the best in the industry. Helane is a lawyer who has formerly worked for the U.S. Securities and Exchange Commission as a regional director. She has also in the past served the company known as Hall Capital Partners LLC. With the Hall Capital Partners company, she had worked as a general counsel and also as a chief compliance officer. 

Helane Morrison was born in the very well-known place of Brooklyn, which is right in New York. When she was younger, Morrison was able to go to the Northwestern University and obtained her degree in journalism from there. She also went to the University of California, which was a Berkeley school of law. At that school she was able to earn a position as the editor-in-chief for the group known as the California Law Review, a place in which she was able to earn her Juris Doctor within the year of 1984. Finally, in the year of 1987, Morrison was able to be accepted by the State Bar of California. 

For more information on Helane Morrison, visit this link. Or, you can also visit her LinkedIn profile for more information on the work that Helane Morrison does.

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