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Marshall on Leadership – A Guide for the Compliance Practitioner

General George Marshall was not only one of the greatest generals that this country has ever produced but he served as US Secretary of State, Secretary of Defense and was the architect of the European recovery plan which bears his name, the Marshall Plan. Nominated by President Franklin Roosevelt to...

Five Essentials of a Chief Compliance Officer Position

Most of Shakespeare's histories involve issues relating to kingship and how a king might reign. In some of the plays, such as Henry V, the example is of a positive nature. In others, such as Richard III, you may need to draw from the inverse to see how one should decidedly not govern. The tragedies...

The SEC Talks About Chief Compliance Officers

Recently, the SEC’s Division of Trading and Markets provided guidance on the potential liability of compliance and legal personnel at registered broker-dealers through a series of answers to eight Frequently Asked Questions (FAQs). Following the recent and controversial Urban case and public comments...

What Message Is Being Sent to CCOs by SEC Commissioners?

The role of the chief compliance officer is the talk of the Securities and Exchange Commission these days – or at least some of its Commissioners. Those who are speaking for the record agree that the role of the CCO is important. Those who are speaking for the record agree that the CCO should not...