Chief compliance officer (cco)
Stronger FCA focus may be diverting resources from day-to-day compliance tasks
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The publication of swap definitions earlier this week initiates a 60-day countdown for compliance to key parts of the Dodd-Frank Act
All US securities firms will be required to designate a chief compliance officer (CCO) who will, with the chief executive officer (CEO), certify annually that the firm is working toward compliance w...
In response to industry fears of a collateral crunch, regulators have revised the proposed rules on margining for uncleared over-the-counter (OTC) derivatives.You can find out more by downloading this white paper here.