Kathleen Griffin Named CCO at SEC
The US Securities and Exchange Commission (SEC) has named Kathleen Griffin the regulator’s first-ever chief compliance officer (CCO). Griffin was formerly senior compliance manager and deputy code of ethics officer at global money management firm Putnam Investments.
Griffin’s appointment, which falls within the SEC’s Office of Ethics Council, will combine two offices that will now monitor employee securities transactions and financial disclosure reporting. “We have established a system of real
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