Suzanne Bond is vice president and chief compliance officer of Madison Avenue Securities, an independent broker/dealer and investment advisory firm with 100 branches.
A compliance officer (CO), or in many cases chief compliance officer (CCO) is the person at a company who has the responsibility of ensuring that their company follows the legal and regulatory requirements which pertain to their business or industry There is often only one CO, especially at smaller companies and this individual bears a great deal of responsibility as their job performance or lack of it can seriously impact the company they work for A compliance officer (CO), or in many cases chief compliance officer (CCO) is the person at a company who has the responsibility of ensuring that their company follows the legal and regulatory requirements which pertain to their business or industry.
ATKINSON, currently executive vice president and general counsel of Assurant Solutions, will assume the role of executive vice president and chief compliance officer.
On June 3,1996, in response to an AICPA request, the IRS issued guidance to all Regional Chief Compliance Officers on the contents of the Service's Information Document Requests (IDRs).
By establishing the new Chief Compliance Officer position, Tri-Valley recognizes the importance of this function to shareholders, investors, employees and third parties who do business with the Company.
Financial Services Alert - Developments of Note The SEC adopted new Rule 38a-1 under the Investment Company Act of 1940 (the "1940 Act") and new Rule 206(4)-7 under the Investment Advisers Act of 1940 (the "Advisers Act") that will require registered investment companies and business development companies ("funds") and federally registered advisers to adopt and implement written policies and procedures reasonably designed to prevent violation of the federal securities laws, review the adequacy and effectiveness of the procedures annually and designate a chief compliance officer responsible for administration of the compliance procedures.
