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CFTC's Pham Says CCOs Must Be Careful With Agency

By Sarah Jarvis ( July 5, 2024, 10:38 AM EDT) -- U.S. Commodity Futures Trading Commission member Caroline Pham warns that chief compliance officers at CFTC-registered firms may face individual liability for noncompliance matters at their firms, telling Law360 that this shows the need for compliance heads to carefully document their actions to potentially avoid liability....

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