OCIE Director Pete Driscoll addresses the IA CCO role

"We notice on exams when firms hire someone for the role to check the box but do not support or empower them.  We notice when a CCO holds one or more roles in a firm and is inattentive to their compliance responsibilities"

To view this content, you need to sign in.


You should only be asked to sign in once. Not the case? Click here


Register now to access this content and more for free.