Source: CCS Blog

CCS Blog FINRA Refrains from Charging Chief Compliance Officers with Failure to Supervise

FINRA will not prosecute Chief Compliance Officers for failure to supervise, unless the CCO has been delegated specific supervisory responsibilities, according to a recently published Regulatory Notice (22-10). CallingThe post FINRA Refrains from Charging Chief Compliance Officers with Failure to Supervise appeared first on Cipperman Compliance Services.

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Est. Annual Revenue
$100K-5.0M
Est. Employees
25-100
Todd Cipperman's photo - Principal of CCS

Principal

Todd Cipperman

CEO Approval Rating

84/100

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