DOE’s 2021 Exam Priorities

"We continue to believe it is important to emphasize that compliance programs, CCOs and other compliance staff play critically important roles at firms .... One such hallmark includes compliance’s active engagement in most facets of firm operations and early involvement in important business developments, such as product innovation and new services. Another is a knowledgeable and empowered CCOs with full responsibility, authority, and resources to develop and enforce policies and procedures of the firm"

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