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CCO Liability

In 2015, Derren Lee Geiger became Cornerstone’s chief compliance officer with final responsibility for Cornerstone’s compliance program
This short video acquaints the new CCO at an advisory firm with fundamental compliance topics to be aware of
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 ...
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