Whitepapers

The Diligent CCO: What to Do When the Firm Disagrees

As Featured in Investment Management Consultants (IMCA) Newsletter, January/February 2016 The Securities and Exchange Commission (SEC or Commission) Office of Compliance Inspections and Examinations (OCIE) staff recently summarized its views regarding the qualities investment advisors should expect in a chief...

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Successful Breakaway Requires Planning

by Rita Dew, Esq., Co-CEO and Founder and Alan Foxman, Esq., Senior Consultant The financial turmoil of the last decade, and particularly the 2008 financial crisis, have left many financial advisers questioning whether working for a traditional Wall Street brokerage...

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Do CCOs, IARs, and RIAs Have Targets on their Backs?

by Les Abromovitz, Senior Consultant It should not take an enforcement action for Registered Investment Advisers (“RIAs”), Investment Adviser Representatives (“IARs”), and Chief Compliance Officers (“CCOs”), to learn that certain misconduct will be dealt with harshly by securities regulators. When...

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Liability Exposure of Chief Compliance Officers

by Rita Dew, Esq., Co-CEO and Founder Chief Compliance Officers (“CCOs”) for Registered Investment Advisers (“RIAs”) take on an enormous amount of responsibility. Compliance missteps can expose CCOs to liability, regulatory sanctions, and serious damage to their careers. CCOs can also...

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