CCO Liability

As UCB Advisers’ CCO, Garcia compliance duties related to securities, including penny stocks, and was tasked with ensuring that UCB Advisers and its IARs comply ...

The enforcement action led to SEC Commissioner Hester Peirce once again addressing the issue of CCO liability

"I have underscored that the compliance obligation belongs to the firm, not to the CCO. Reminding firms that compliance is their responsibility helps to ensure ...





The CCO allegedly created fictitious letters and tax documents, hacked into her colleagues’ computers and rerouted their emails, and used voice altering software to impersonate ...

The SEC's complaint claims the CCO "engaged in subterfuge to conceal her misconduct," including allegedly hacking into her colleagues’ computers

In 2015, Derren Lee Geiger became Cornerstone’s chief compliance officer with final responsibility for Cornerstone’s compliance program

This short video acquaints the new CCO at an advisory firm with fundamental compliance topics to be aware of

Witherspoon, Jr., 57, is CEO/COO and CCO of Boveda Asset Management