Helane Morrison: The Heroine of Corporate Compliance

Few women can stand up and express their rights as well as vie for various leadership positions. Helane Morrison, however, is an exception. Being a woman of integrity and a high confidence, she has made her way to success and made a great difference all around the world. She is one of the lucky heroines that history records.

Helane, who is forty-six years old, has been a lawyer for the past three years. As a lawyer, Morrison represented customers sued by the SEC. She guarded securities clients in class activity suits and spoke to securities industry officers in SEC examinations. She likewise worked in arbitrations defending dealers and stock financier firms in lawsuits brought by clients.

Due to her intelligence and determination, Helane managed to become the first woman to serve as the district’s chief. Having worked as an office administrator in San Francisco’s District Office, Helane’s main aim is to maintain the relationship with other people and keep the office affairs on track.

Helane is also in charge of examination and enforcement programs within the San Francisco office’s authorities. Morrison joined the SEC in 1996, and she has conducted various major investigation procedures. She exposes the unethical behaviors in the finance industry. She was one of the most dedicated female administrators within the SEC.

With increasing workload for both examination and enforcement reforms, Helane says that the district office’s staff has to in case so as to meet the required duties. She says that the SEC’s aim is to increase the popularity of online brokerage services so as to be of great aid to investors. Helane also gave advice concerning fundraising and marketing.

According to her, false advertisement practices are illegal regardless of whether your firm is registered on not. She highly discourages testimonials as a mode of advertising. Helane advises that when advertising, firms should clearly state that their past performance does not indicate the future performance; that is in case the firm have not been doing succeeding.

Helane urges investors to take great caution during fundraising periods. She advises that in case one needs local funds, them one should limit political contribution from the authorities involved, to avoid chaos.

Helane Morrison, as a chief compliance officer was able to expose high profile cases such as fraud cases, cheating of the senior citizens, and violations by brokers and investment advisers. Morrison serves as a member of the Board of the Regional Parks Foundation and is an active participant of the Hedge Fund Subcommittee of the American Bar Association.