First Page
49
Abstract
Compliance officers are currently an unregulated body and, unlike the legal profession, are not subject to any particular set of professional guidelines that guide their behavior. The lack of a distinct compliance officer profession creates risks relating to heightened potential personal liability and the possibility of merging with another profession that is not exactly compatible with the compliance function. To mitigate these risks, this Article proposes the creation of a professional regulatory system for compliance officers that is industry-specific and self-regulated and discusses the various benefits that would stem from such a system.
Recommended Citation
Jennifer M. Pacella,
Regulating Compliance Officers,
19 Brook. J. Corp. Fin. & Com. L.
49
(2024).
Available at:
https://brooklynworks.brooklaw.edu/bjcfcl/vol19/iss1/3
Included in
Administrative Law Commons, Business Organizations Law Commons, Labor and Employment Law Commons, Legal Ethics and Professional Responsibility Commons, Legal Profession Commons
