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Annual Review

Imagine informing your regulator about the need for more compliance resources. In effect, that’s one of the elements the CFTC will require in the annual ...
Along with adopting and implementing written policies and procedures reasonably designed to prevent violations of the federal securities laws and designating a CCO to administer ...
Dupree Financial’s prior CCO stepped down in May 2015, and now solely performs her administrative duties. Also in May 2015, Dupree Financial appointed a new ...
Futures commission merchants, swap dealers and major swap participants will get an extra 30 days to file their chief compliance officer annual reports under proposed ...
Jotting down a note helps ensure you return from the grocery store with all the items you need so it’s likely to work for the ...
Recorded: February 9, 2016
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. ...
When the SEC releases three enforcement cases on the same day – tied to the same issue – you know a message is being sent. ...
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