All CCO articles – Page 5

  • Blog

    CFTC Gives CCOs Extra 30 Days to File Annual Reports

    2015-03-31T14:30:00Z

    The Commodity Futures Trading Commission will give compliance officers an additional 30 days to file the annual reports required of swap dealers and major swap participants. The reports—which include an assessment of compliance resources and challenges—were initially due within 60 days of the fiscal year’s end. More inside.

  • Article

    Putting All of That Talent to Work Smartly

    2015-03-24T10:45:00Z

    Amid a tough climate of regulatory enforcement and an explosion of new rules after the financial crisis, many large companies—especially financial institutions—have beefed up their staffing on risk and compliance. But is more always better? While the investment sends a message, more boots on the ground may just step on ...

  • Blog

    SEC Adopts Swaps Rules; Piwowar Slams CCO Changes

    2015-01-14T16:00:00Z

    The SEC has adopted new rules that will require security-based swap data repositories to register with the Commission and adhere to new recordkeeping and data transparency requirements. Commissioner Michael Piwowar was a dissenting vote over what he says were last-minute changes intended to crack down on individuals who lie to ...

  • Article

    Wanted: Compliance Officers With Leadership, Communication Skills

    2014-11-18T13:00:00Z

    Image: Chief compliance officers are still in high demand, but the skills that companies are looking for in top candidates are changing. Companies are seeking compliance leaders who have the ability to influence others, communicate effectively, and build relationships with a wide range of internal and external stakeholders, including regulators. ...

  • Article

    Separation Conundrum: Should Compliance Be Independent of Legal?

    2014-11-11T14:45:00Z

    Image: Title: RubinDespite the ongoing push for companies to separate the compliance and legal functions, giving chief compliance officers greater independence than they might otherwise enjoy while reporting to the general counsel, not everyone agrees it’s the only way to go. “I don’t think there is a right or wrong ...