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CCO Liability

Theodore Urban, the former general counsel at Ferris Baker Watts, battled efforts by the SEC Enforcement Division to sanction him for allegedly failing to reasonably ...
Here's a key perennial lesson to remember: fix deficiencies found in a prior exam.It's been stated many times before but received an exclamation point this ...
Use your P&Ps to stress that the CCO has many responsibilities but has a reduced role as a supervisor if you have concerns your work ...
This is a template for a supervision policy courtesy of Nancy Lininger of The Consortium in Camarillo, Calif. This can be helpful to firms after ...
This is a portion of a policy and procedure related to supervision at an RIA. This comes from Nancy Lininger with The Consortium in Camarillo, ...
A former CCO at a Chicago RIA must pay penalties of more than $150,000 and is barred from the industry for helping her former boss ...
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