Steve Huggard Comments on Avoiding a Deficiency Letter Citation in Ignites

January 26, 2018 - Steve Huggard commented on how to avoid a deficiency letter citation in an article examining the SEC Fort Worth Office’s first-of-its-kind call discussing common deficiencies found during 139 exams. Huggard said to avoid a deficiency letter citation, firms should work to ensure that the chief compliance officer has the “authority within the company to look where they need to look and address whatever problems they find,” and that such influence is likely to be more important than “who they report to on the org chart.”

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