SEC exam anxiety? It’s a real thing.
FrontLine Compliance
Chief Compliance Officers in the investment industry face a tall task these days. One of the most aggressive SEC regimes in recent history is flexing its muscles to put CCOs and their senior management on notice. The SEC is pursuing a high octane combination of increased examinations bolstered by numerous rulemaking initiatives sure to keep compliance professionals busy over the next decade. It’s no wonder CCOs are reaching for the Tums inside their desk drawer.…
