CCO Liability

You may be familiar with Ted Urban's story (IA Watch, April 1, 2013) but may never have heard of Matthew Collins. His case is on ...

Lessons learned continue to come out of Ted Urban's story, the former general counsel at Ferris Baker Watts in Baltimore who faced being declared a ...

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 ...