CCO - Behind the Scenes Episode 4

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - October 07, 2020 12:00 - 4 minutes - 3.01 MB - ★★★★★ - 7 ratings
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Previous Episode: The Market Access Rule - Still a Priority for FINRA...and for You

Next Episode: The Market Access Rule - Digging Deeper

In this episode of CCO - Behind the Scenes, Jeffrey Hiller talks about what "Tone at the Top" means, and why it's important to embed the Compliance Department within the firm. Listen as, during these short discussions, Jeffrey shares his real experiences and lessons learned during 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.

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