Recent Posts

The CCO and Crisis Management
Posted on 9 Mar 2012 by Thomas Fox

"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... Read More

Three Keys to the Role of a Chief Compliance Officer
Posted on 23 Mar 2012 by Thomas Fox

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... Read More

Outsourcing Compliance and the CCO
Posted on 24 Oct 2011 by Doug Cornelius

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... Read More