Users Guide – Exam Prep
By Scott on March 30, 2016 in User's Guide
This User’s Guide is designed to help you prepare for an …
FAQs: Performance Advertising
These FAQs are part of a series of frequently asked questions that …
User’s Guide – Annual Review
By Scott on March 28, 2016 in User's Guide
This User’s Guide is designed to help you complete your annual compliance …
10 Most Common Deficiencies Found by SEC Examiners
By Scott on March 25, 2016 in Compliance
I was clearing out some old folders on my computer the other day …
The Reviews Are In and CCO Companion is a Smash Hit!
The response has been absolutely terrific! See what your colleagues are saying …
FAQs: Pay-To-Play
These FAQs are part of a series of frequently asked questions that …
3 . . 2 . . 1 . . Blast Off!!!
By Scott on March 21, 2016 in Countdown to Launch
Today CCO Companion has launched into the stratosphere! Well, at least into …
FAQs: Directed Brokerage
These FAQs are part of a series of frequently asked questions that …
Using Enforcement to Teach Compliance
By Scott on March 11, 2016 in Regulatory Environment
In an earlier post (Dec. 16, 2015), we discussed how enforcement actions …
FAQs: Advertising
These FAQs are part of a series of frequently asked questions that …
March Madness
By Scott on March 7, 2016 in Compliance
No, not the NCAA tournament, but rather, the rush to get your …
CCO Fined $1 Million
By Scott on March 4, 2016 in Regulatory Environment
That ain’t no typo.
FAQs: Trade Aggregation and Allocation
By Scott on March 2, 2016 in Compliance
These FAQs are part of a series of frequently asked questions that …
