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New CCO (4)
Your search for New CCO returned 4 results.
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8/01/2019 | Content area: Investment Adviser
It’s a tight labor market for compliance officers but an open mind—and a few, key focused questions—might just help you build your A-Team.   “One of t...
3/18/2019 | Content area: Investment Adviser
IA Watch's latest video runs 1:48 and is designed to acquaint the new CCO at an advisory firm with fundamental compliance topics to be aware of.  
1/02/2019 | Content area: Investment Adviser
However it came about that you were named the CCO of your firm, you need to know the basics of what the Investment Advisers Act of 1940 demands of you...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
If you are an investment adviser registered or required to be registered under section 203 of the Investment Advisers Act of 1940, it shall be...


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