Changing Hats, May 2010
KATHLEEN GRIFFIN
The US Securities and Exchange Commission (SEC) has appointed Kathleen Griffin as its first chief compliance officer as part of the US regulator’s attempts to strengthen its internal compliance programme. The regulator says the role was created to centralise oversight of employee securities transactions and financial disclosure reporting. The new compliance unit is part of the SEC’s Office of Ethics Counsel. Griffin joins the SEC from money manager Putnam Investments, where she
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