-
By Les Abromovitz |
January 1, 2012
CCOs make significant contributions to success of an RIA, designing and implementing compliance programs that prevent, detect and correct securities law violations. When major compliance problems occur at firms, CCOs will likely receive regulatory consequences.
-
By Melanie Waddell, AdvisorOne |
November 28, 2011
The SEC on Monday charged three investment advisors for failing to put in place compliance procedures designed to prevent securities law violations.