April 17, 2008
NCS CCO Liability White Paper
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March 28, 2008
NCS to Speak at Marketing and Advertising Compliance Forum
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February 19, 2008
Blue Frog Solutions and National Compliance Services, Inc. Form Strategic Alliance
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February 04, 2008
Speech by SEC Staff: Frequently-Asked Questions About SEC Examinations
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September 21, 2007
SEC Votes to Adopt Temporary Rule on Principal Trades With Certain Advisory Clients
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September 10, 2007
"Free Lunch" Investment Seminar Examinations Uncover Widespread Problems and Perils for Older Investors
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Request a copy of the NCS CCO Liability White Paper
April 17, 2008
- When you assume the position of Chief Compliance Officer (“CCO”) for an investment advisory firm, you’re taking on a great deal of responsibility. You’re also exposing yourself to liability and potential damage to your career. You can request a copy of the NCS CCO Liability White paper, which goes into greater detail on this issue.
Please click here to request a copy of the NCS CCO Liability White Paper.
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