Tag Archives: chief compliance officer

SEC Chairman Cox Notes Importance of Investment Advisor CCOs

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 investment advisory rules and regulations.  The speech is reprinted below.  Continue reading