As part of a registrant’s legal obligations, the Chief Compliance Officer (CCO) is required to submit an annual report to the firm’s board of directors (or individuals acting in a similar capacity) assessing compliance by the firm, and individuals acting on its behalf, with securities legislation. Generally, the beginning of the year is a great time to assess compliance during the previous calendar year.
Click the link to read more. >> AUM Law Bulletin Annual CCO Report January 2014