Entrepreneur Magazine Gives CCO Companion Thumbs Up!
Visit an app marketplace and search for parenting or management apps, you …
FAQs: Insider Trading
These FAQs are part of a series of frequently asked questions that …
8 Types of SEC Enforcement Actions
By Scott on April 14, 2016 in Compliance
In the past year there have been eight general types of SEC Enforcement …
FAQs: Solicitors
These FAQs are part of a series of frequently asked questions that …
CCO Companion Release 1.2 in App Store Today!
In addition to updating the Reference Library with all relevant Q1 2016 …
The 6 Attributes of a Competent CCO
By Scott on April 10, 2016 in Compliance
While we could probably list dozens of attributes that a competent chief …
5 Ways Advisers Fail to Realize they Have Custody
By Scott on April 9, 2016 in Compliance
The SEC Staff had observed failures by investment advisers to realize that …
3 Sure Ways to Get Slammed During an SEC Audit
By Scott on April 8, 2016 in Regulatory Environment
As the saying goes, the only sure things in life are death …
New DOL Fiduciary Rule
By Scott on April 8, 2016 in Compliance
This past Wednesday (April 6, 2016) the Department of Labor (DOL) issued a pre-publication …
Performance Advertising – 6 Common Mistakes
By Scott on April 5, 2016 in Compliance
Inaccurate performance claims and advertising violations are always in the top 3 …
How is CCO Companion so Effective?
By Timur on April 1, 2016 in Regulatory Environment
