Your Sword and Your Shield
By Scott on December 30, 2015 in Countdown to Launch
When I was a mere junior associate toiling away in a law …
Compliance Officers on the Hook
By Scott on December 28, 2015 in Regulatory Environment
Certainly one of the most troubling aspects of being an advisory firm’s chief compliance officer …
The Gift That Keeps on Giving
By Scott on December 25, 2015 in Countdown to Launch
After your favorite chief compliance officer grows weary with all the other gifts …
Do CCOs Need to be Einsteins?
By Scott on December 23, 2015 in Countdown to Launch
When it comes to figuring out how to actually satisfy their many, many …
Showing Off to the SEC
By Scott on December 21, 2015 in Countdown to Launch
I had the opportunity today to show a beta version of CCO …
Updates to Reference Library
A recent (December 1, 2015) SEC Examination Request Letter from the Boston …
Introduction to Enforcement
By Scott on December 16, 2015 in Regulatory Environment
The Securities and Exchange Commission’s Division of Enforcement investigates possible violations of …
Introduction to No-Action Letters
By Scott on December 14, 2015 in Regulatory Environment
When an individual or entity who is not certain whether a particular …
The 5 Things CCOs Like Best About Compliance
By Scott on December 11, 2015 in Regulatory Environment
We recently conducted an informal poll of chief compliance officers as to the …
User’s Guide – Risk Assessment
By Scott on December 9, 2015 in User's Guide
This User’s Guide is designed to help you complete your firm’s risk …
50% of all Compliance is Rubbish
By Scott on December 7, 2015 in Countdown to Launch
So began a conversation I had last week with a chief compliance …
Training Camp
By Scott on December 4, 2015 in Countdown to Launch
According to the SEC, advisers had better make sure that they are …
Getting to the Heart of the Matter
By Timur on December 2, 2015 in Countdown to Launch
The compliance Reference Library is at the heart of CCO Companion. Information in …
