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SEC warns on outsourcing CCO role

11/12/2015

The Securities and Exchange Commission this week issued a risk alert on what it called a "growing trend" of asset managers outsourcing compliance responsibilities, including the role of chief compliance officer. The alert is based on Office of Compliance Inspections and Examinations staff observations during the agency's Outsourced CCO Initiative. For boards, the ... Log in to view full article.

 


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