The Compliance Dance

Maybe it was the harsh New England weather or the fact that the weekend was looming but when Waters interviewed a CTO at a major investment firm about the state of compliance and working with the chief compliance officer (CCO), we got an earful.

When it comes to compliance, "I’m absolutely, thoroughly bored. It adds absolutely no value to the company. It’s just a process you need to fulfill to keep the SEC off your back," says Rick, our CTO, who asked that his real name not be used and that his

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact info@risk.net or view our subscription options here: http://subscriptions.risk.net/subscribe

You are currently unable to copy this content. Please contact info@risk.net to find out more.

Sorry, our subscription options are not loading right now

Please try again later. Get in touch with our customer services team if this issue persists.

New to Risk.net? View our subscription options

You need to sign in to use this feature. If you don’t have a Risk.net account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an individual account here