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