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Tone at the Top: Culture of Compliance
As Chief Strategy Officer for CCO Tech and Co-CEO of Global Rhino (an affiliated company), I had the privilege of speaking on a panel at a national compliance conference with three esteemed industry colleagues, two in-house CCOs at asset management firms, and a consulting expert in the hedge fund space.
Tips for a More Secure Client Relationship: A Commentary on OCIE's Risk Alert on Privacy and Data Protection
Here are examples of the most common deficiencies or weaknesses identified by OCIE staff in connection with the Safeguard Rule.
CCO Tech Announces Advisory Board
CCO Technology is pleased to introduce three experienced entrepreneurs and leaders to inaugurate its new Advisory Board: Jon Dollan, Kimberly Tapia, and Craig Chambers.
Your (Virtual) All-Star Compliance Analyst
In this post, we explore CCO Tech's newest tech offering—the Compliance Analyst.