Minimizing the Risk of CCO Liability

  • January 19, 2022
  • 12:00 pm - EST

MyComplianceOffice Webinar

Join Scott Noah, Of Counsel at Stevens & Lee, for practical guidance on how the right supervisory structure can reduce the risk of CCO liability, including current standards for CCO liability; compliance vs. supervision; the importance of the empowered CCO; developing policies, procedures and controls tailored to a firm’s business model; managing the role of the CCO serving multiple functions; and how technology provides the backbone of an effective supervisory structure.

Hosted by: