The Turning Tide: Has the SEC Finally Given CCOs the Credit They Deserve?

Jaqueline M. Hummel, Managing Director Hardin Compliance Consulting June 25, 2015 There have been three events in the last month to give compliance professionals hope. Ever since the passage of Advisers Act Rule 206(4)-7 (“the Compliance Program Rule”), the SEC has increasingly placed Chief Compliance Officers (“CCOs”) … Read More ›