CCO Liability

It “is unlikely that the firm principals will ever be repaid for these funds,” the government wrote

Here’s a primer on the other basics you must know

Here’s the scenario: A SEC exam heads toward enforcement. Would a CCO raise her liability risks by signing the firm’s response to a deficiency letter?

"Since 2012, when Two Point first registered with the Commission, Two Point failed to adopt and implement reasonably designed compliance policies and procedures, and to ...

As UCB Advisers’ CCO, Garcia compliance duties related to securities, including penny stocks, and was tasked with ensuring that UCB Advisers and its IARs comply ...

The enforcement action led to SEC Commissioner Hester Peirce once again addressing the issue of CCO liability

"I have underscored that the compliance obligation belongs to the firm, not to the CCO. Reminding firms that compliance is their responsibility helps to ensure ...





The CCO allegedly created fictitious letters and tax documents, hacked into her colleagues’ computers and rerouted their emails, and used voice altering software to impersonate ...