CCO - Behind the Scenes Episode 3

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - September 30, 2020 12:00 - 6 minutes - 4.3 MB - ★★★★★ - 7 ratings
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Previous Episode: CCO Behind the Scenes - Episode 2

Next Episode: The Market Access Rule - Still a Priority for FINRA...and for You

Join Oyster Consulting's Jeffrey Hiller in his new podcast mini-series, CCO - Behind the Scenes, as he shares his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC's Division of Enforcement. Being CCO is more than just checking boxes. Listen and learn in these short discussions as Jeffrey shares his real experiences and lessons learned. In this week's episode Jeffrey discusses personal compliance violations and what you should do. Some things you just won't get from a textbook.

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