Category: CCO

Budgeting for Compliance in 2012 Part 2 in a 5-Part Series A Case Study in “Making the Case” for Additional Budget   As we discussed in Part I, most CCO’s have the need for additional budget, but making the case for it can be difficult.   CCO’s know that they need to ensure the firm maintains ...

Part 1 in a 5-Part Series on Budgeting for Compliance in the Dodd-Frank era.  We discuss the challenges facing CCOs who are caught between increasing reporting and surveillance demands and tightening budgets.  In subsequent posts, we’ll offer some practical advice for leveraging automation to meet regulatory demands while keeping costs in check.   Budgeting for Compliance ...

For this blogpost*, Jane Stabile spoke with Douglas F. MacLean, Managing Member of Armor Compliance.  Doug is a former big firm investment management attorney who provides comprehensive compliance consulting services, including serving as the chief compliance officer, to traditional registered investment advisers, private equity and hedge fund managers. What type of registration does our firm ...