Knowledge Base

Recorded Webinar: CCO Basic Training – 2/2/2023



Date Recorded: February 2, 2023

Time: 67 minutes


Icon

CCO Basic Training Slides

1 file(s) 0.00 KB

Search Knowledge Base by Keyword

Created On
byRCC
< Back
During this CCO Basic Training webinar, Bryan Hill, president of RIA Compliance Consultants, discusses the requirement for each investment adviser to designate an individual to serve in the role as the Chief Compliance Officer (CCO) pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. He discusses the role of the CCO and provides an overview of the CCO’s ongoing compliance requirements. Included with Value, Bronze, Silver, Gold, Platinum & Titanium packages. Don't have access? Purchase here.

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.