7 Key Compliance Tips to Implement in Your Hiring Process
Hiring great employees gives companies an edge over their competition but can also be challenging when candidates outnumber the jobs available. The […]
Category: Compliance
Is an Outsourced Compliance Provider Appropriate for Your Firm?
The SEC’s Director of Examinations[1] recently reiterated the critical role that Chief Compliance Officers (“CCO”) play for both investment advisers and investment companies. The SEC’s language together with previous SEC guidance focused on outsourced CCOs implies that the SEC prefers in-house CCOs.