In the Margins

SEC's Donohue discusses CCO role, responsibilities

October 23, 2015

By The Securities and Exchange Commission

Securities and Exchange Commission Chief of Staff Andrew "Buddy" Donohue discussed the role and responsibilities of chief compliance officers in a recent speech. Speaking at the NRS 30th Annual Fall Investment Adviser and Broker-Dealer Compliance Conference in San Diego, Donohue touched on the challenges—identifying risk, embracing data and technology, and enhancing existing expertise—and laid out the various categories in which CCOs should approach their jobs. Read the full speech from the SEC