Partners Mary Hansen and James Lundy and associate Kaitlin Klamann republished “How to Manage the Risky Role of the Investment Adviser CCO in the 21st Century” in Practical Compliance & Risk Management For the Securities Industry. The article previously appeared in The Investment Lawyer.

The U.S. Securities and Exchange Commission (SEC) continues to increase its scrutiny of chief compliance officers (CCOs) of investment advisers, primarily relying upon the Investment Advisers Act of 1940 to bring charges. In their article, Mary, Jim and Katie examine the regulatory sources of SEC enforcement investigations, and provide practical guidance on how advisers and their CCOs can minimize exposure.

Source: Practical Compliance & Risk Management For the Securities Industry
Read “How to Manage the Risky Role of the Investment Adviser CCO in the 21st Century.”