Training for a CCO of an Investment Adviser

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.