The SEC is Watching
By Scott on January 29, 2016 in Regulatory Environment
The SEC’s Office of Compliance Inspections and Examinations (commonly known as OCIE) …
User’s Guide – Building an Effective Compliance Program
By Timur on January 27, 2016 in User's Guide
User’s Guide – Building an Effective Compliance Program This User’s Guide is …
6 Steps to Building an Effective Compliance Program
By Scott on January 25, 2016 in Compliance
Building an effective compliance program goes beyond having a compliance manual or …
Updates to Reference Library (Week Ending Jan. 22, 2016)
The 2016 examination priorities of the SEC’s Office of Compliance Inspections and Examinations …
Trickle Down Penalties
By Scott on January 20, 2016 in Regulatory Environment
In a lively discussion triggered by an earlier blog post (Hogwash!), some …
CCO Liability & Insurance Coverage
By Scott on January 18, 2016 in Regulatory Environment
This post is a bit far afield from what we usually discuss, …
Compliance Calendar
By Scott on January 15, 2016 in Countdown to Launch
Coming up with a compliance calendar worthy of CCO Companion is more …
Hogwash!
By Scott on January 13, 2016 in Regulatory Environment
For many years after the Compliance Rule was first passed, I used …
Show and Tell
By Scott on January 11, 2016 in Countdown to Launch
By the age of five most children understand that there are two parts …
Astrology-Based Ponzi Scheme
By Scott on January 8, 2016 in Regulatory Environment
No, really. Part of what we are doing with CCO Companion is …
User’s Guide – Compliance Testing
By Scott on January 6, 2016 in User's Guide
User’s Guide – Compliance Testing This User’s Guide is designed to help …
Annual Requirements Checklist
By Timur on January 4, 2016 in Checklists
To get you off on the right foot for 2016, we are …
2016 and Beyond
By Scott on January 1, 2016 in Countdown to Launch
A new year always brings a fresh start. Our commitment to help …
