How an OCCO Helps RIAs Strengthen Regulatory Confidence
Key Takeaways An OCCO provides experienced compliance leadership without hiring a full-time CCO. Strong compliance programs build regulatory confidence before an SEC examination begins. ACA OCCOs combine regulatory experience with the resources of a leading compliance consulting firm. Proactive, risk-based compliance helps firms reduce regulatory risk and prepare for SEC examinations. ACA OCCO Shoshana Thoma-Isgur […]
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