CCO Liability

It took criminal authorities years to piece together the alleged fraud hatched by Brian Anthony Bjork, the former CEO/CCO of Select Asset Management ($52M in ...

A recent FINRA settlement with a small New York firm and its CCO highlights the need to respond promptly to the regulator's information requests - ...

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 ...