OCIE director’s warning: Insufficient CCO support won’t fly

Help

In a year turned upside down by the coronavirus pandemic, one thing hasn’t changed in the eyes of the SEC: The best compliance programs are supported by senior management and have adequate staffing, technology, and training.

THIS IS MEMBERS-ONLY CONTENT

Already a Member? SIGN IN here. If you’re not, click HERE for more information on our 30-day free trials and why you’re not able to view this story.