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Trends in Failure to Supervise Cases: Responding to Red Flags

Harry J. Weiss (Partner at the law firm of Wilmer, Cutler & Pickering in Washington, D.C.)
Jolie F. Zimmerman (Counsel at the law firm of Wilmer, Cutler & Pickering in Washington, D.C.)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 1 March 2000

Abstract

Supervision remains a significant issue in our regulatory framework. The cases surrounding this concept are ongoing and the law evolving. This article explores the newer “red flag” supervision cases; discussing the implications and the duties that perhaps attach as a result of this developing case law. It also explores some concrete examples of what supervisors should do when confronted with relevant information.

Citation

Weiss, H.J. and Zimmerman, J.F. (2000), "Trends in Failure to Supervise Cases: Responding to Red Flags", Journal of Investment Compliance, Vol. 1 No. 3, pp. 11-15. https://doi.org/10.1108/eb045881

Publisher

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MCB UP Ltd

Copyright © 2000, MCB UP Limited