All the recent talk about CCOs being worried about being named in an enforcement action has left compliance staffers globally “feeling particularly vulnerable” to being ...
If your firm has hired an outsider as its CCO, you should review your business practices to ensure the compliance officer is up to the ...
Considering that all RIA CCOs must achieve an annual review each year, it’s worth hearing from a peer to gain ideas for improving your approach. ...
The SEC’s Enforcement Director Nov. 4 again addressed his division’s perspective on compliance officers and how Enforcement approaches cases that involve compliance personnel, but this ...
Should FinCEN go ahead with its plan to require RIAs to have a risk-based AML program, the industry should get 18 months to comply and ...
The SEC’s Division of Investment Management and the Office of Compliance Inspections and Examinations are actively developing a recommendation that would establish a program of ...
The House of Representatives on Oct. 27 passed a bill that would halt the Department of Labor’s proposed fiduciary rule and require the agency to ...
When it comes to smartly preparing for a possible SEC exam, few activities would appear shrewder than what Tanya Kerrigan did. The general counsel/CCO ...
The phrase uttered during an old TV car care commercial went “you can pay me now, or pay me later.” That maxim applies to ...
Andrew Donohue has been responsible for legal and compliance functions at Goldman Sachs and Merrill Lynch Investment Managers. “I know how difficult your jobs can ...