Posts tagged as:

CCO

Open Letter to CEOs of SEC-Registered Firms (SEC Release)

December 3, 2008

Open Letter to CEOs of SEC-Registered Firms
December 2, 2008
Dear CEO of SEC-Registered Firm:
During this time of financial and market turmoil, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission reminds leaders of SEC-registered firms, including broker-dealers, investment advisers, investment companies and transfer agents, of the critical role played by your firm’s [...]

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SEC Staff Reminds CEOs Of Registered Firms of Importance of Compliance Programs (SEC Release)

December 2, 2008

SEC Staff Reminds CEOs Of Registered Firms of Importance of Compliance Programs
FOR IMMEDIATE RELEASE
2008-283
Washington, D.C., Dec. 2, 2008 — The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations today issued an open letter to chief executives of SEC-registered firms, including broker-dealers, investment advisers, investment companies and transfer agents, to remind them of the [...]

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SEC Chairman Cox Notes Importance of Investment Advisor CCOs

November 15, 2008

At a recent speech at the 2008 CCOutreach National Seminar, a seminar for the Chief Compliance Officers of registered investment advisors, SEC Chairman Christopher Cox noted the importance of compliance offices during these volatile times.  Cox noted that CCOs are partners with the SEC to ensure that investment advisory firms remain compliant and follow all [...]

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SEC and Registered Hedge Fund Investment Advisors: Report by the GAO

November 3, 2008

This article is part of a series examining the statements in a report issued by the Government Accountability Office (GAO) in February 2008.  The items in this report are important because they provide insight into how the government views the hedge fund industry and how that might influence the future regulatory environment for hedge funds.  [...]

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