"What, Me Worry?" is one of my favorite all-time slogans.
Anyone who grew up on the 60s or 70s recognizes this comes from Alfred E.
Neuman, the enigmatic face of Mad Magazine. While this phrase certainly had its
uses for us teenagers back...
There is an ongoing debate in the compliance world about
whether a company can or should combine or separate the role of the Chief
Compliance Officer (CCO) from that of the General Counsel (GC). However, before
a company can answer this question, it...
One of the requirements of registration as a registered
investment adviser is the appointment of a Chief Compliance Officer and the
establishment of a formal compliance program. The SEC stated that a firm need
not hire a new person to be the CCO. However...