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CCO Liability

Witherspoon, Jr., 57, is CEO/COO and CCO of Boveda Asset Management
We've compiled a "best of" list of advice we've reported over the years when it comes to recommendations for steps you can take to reduce ...
FINRA clarifies when a CCO is and is not subject to potential liability under its supervision rule
The Commission may have gotten tipped off by suspicions of Bell Rock’s trading by its unidentified custodian, which terminated its relationship with the adviser over ...
Initiative is aimed at attempting to alleviate the uncertainty faced by compliance officers when it comes to personal liability
Fully 7-in-10 compliance professionals consider the overall compliance function at their firms to be "under-resourced"
The defendants improperly registered Bóveda with the Commission as an Internet IA
Walker solicited investors to purchase 1 Global securities; advised investors about the merits of the investments; and received commissions of approximately $393,000 that were transaction-based ...
Miller is the majority owner/CEO of PeachCap and also served as PCTA’s CCO
Siniscalchi was an associated person and Chief Compliance Officer of Indio Entertainment, an investment adviser registered in California as an exempt reporting adviser

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