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Jan. 26, 2022

Personal Liability and Compliance Resourcing Are Top Concerns Among CCOs, Surveys Show

  • Robin L. Barton
    Cybersecurity Law Report
Faced with the challenge of getting compliance support and resources from senior management, combined with the SEC’s focus on individuals in enforcement actions, it is no wonder that many CCOs are increasingly concerned about being held personally liable for securities violations at their firms. To gauge the extent of those concerns, the National Society for Compliance Professionals (NSCP) surveyed its members on CCO liability, as well as CCO empowerment and resourcing. This article explores the results of those surveys and includes commentary from Lisa Crossley, executive director and CEO of the NSCP. See “How CCOs Can Avoid Personal Liability for an Organization’s Compliance Failures” (Dec. 2, 2020).

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