So You Want To Be A CCO: Insider Tips and Tricks of the Profession
Event | 08.17.10, 12:00 AM UTC - 12:00 AM UTC
The Chief Compliance Officer (CCO) has become a crucial employee at most financial services firms, and a stand-alone one requiring technical skills and the knowledge of ever-evolving rules and best practices.
This webcast will:
Provide practical tips for managing a compliance function such as:
- Understanding the primary compliance function
- Differences in the compliance role at BDs, IAs and other financial institutions
- Prioritizing and managing time, while wearing multiple hats
- Managing policies and keeping pace with rule changes
- Nurturing key relationships
Mark Egert is one of the speakers at this webcast.
For more information, please visit these areas: White Collar and Regulatory Enforcement
Insights
Event | 11.12.25
A Fireside Chat with New Jersey Attorney General Matthew J. Platkin
As New Jersey’s 62nd Attorney General, Matthew J. Platkin has been on the forefront of some of the country’s most consequential legal battles. You are invited to listen to Attorney General Platkin reflect on his tenure and where he thinks state-level enforcement activity is headed.
Event | 11.04.25
