Training for a CCO of an Investment Adviser

During this one-hour webinar recording, one of our Compliance Consultants focuses on many of the primary responsibilities of a chief compliance officer (CCO) at the typical investment adviser firm. This session allows an individual who is a new chief compliance officer (CCO) training and an introduction to many of his or her new duties. It also serves as a good review and training session for experienced compliance officers.

Additional Training Materials

Sample Forms

Recorded Webinars

  • Understanding the Role of the Chief Compliance Officer
    • During this webinar, RIA Compliance Consultants will discuss the requirement for each investment adviser to designate an individual to serve in the role as Chief Compliance Officer (CCO) pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. We will discuss who should serve in the role as the CCO, what it really means to be the CCO, and the responsibilities associated with serving as the CCO for your investment adviser. We will also discuss some of the key factors investment advisers should consider when they outsource compliance activities or the chief compliance officer role to unaffiliated third parties.