A chief compliance officer (CCO) is a member of your firm’s team who can help protect your business from potential legal or regulatory issues. Registered investment advisors must have a CCO serving at ...

It’s largely impossible to effectively assess an organization’s culture of compliance prior to taking a chief compliance officer job. And yet, regulators’ growing interest in holding CCOs responsible ...

Sarah Chen, the newly appointed chief compliance officer (CCO) at Granite Oil Corp, sat across from the board of directors, her heart racing. The company was on the brink of closing a lucrative deal ...

Betterment is actively looking for its fourth top compliance executive in less than a year and fifth in less than two years. As it continues to search for the right candidate, the automated advice ...

Building a compliance program is a project – and building the first iteration is the first hurdle every organization faces. Regulators and legislation might provide a framework for creating holistic ...

In January/February 2013, the Society of Corporate Compliance and Ethics (SCCE) polled 800 compliance and ethics professionals on the topic of whether the chief compliance officer should report to the ...

The role of any chief compliance officer is multifaceted. In the investment management space, responsibilities include ensuring all investment activities are in compliance with applicable regulations ...

For decades, corporate board seats have been a semi-retirement strategy for chief executive officers and chief financial officers who want to stay in the game. With institutional investor calls for ...

In the world of investment company compliance, one can have all of the essential elements of a great compliance program, but without the intangible ingredient of a highly-experienced and attentive ...

Independent broker/dealer Commonwealth Financial Network has hired Alexander Hansen, the former chief compliance officer at Dynasty Financial Partners, as senior vice president of RIA compliance.

NEW YORK, March 13, 2024 (GLOBE NEWSWIRE) -- The Wall Street Journal has expanded its suite of leadership networks with the launch of a Chief Compliance Officer (CCO) Council. This exclusive, ...