Today’s Legally Speaking: Broker-dealer and Investment Adviser Industry Insights vlog comes from Senior Counsel Andrea McGrew who sat in the client seat for 18 years as a securities attorney, general counsel and chief compliance officer for a broker-dealer and multiple registered investment advisors. She knows better than anyone what keeps CCOs up at night.
In her role with Warner, she helps broker-dealers and registered investment advisor clients adhere to securities compliance rules and regulations. Although being a CCO is incredibly rewarding, it is also incredibly challenging. The work is staggering and the number of rules and regulations to test and implement is overwhelming. Andrea talks about “the gap” as being the biggest challenge to CCOs – in that there is simply too much information to absorb and implement. And what gets missed could cause serious harm to your investors and your firm. Andrea addresses this and other challenges CCOs face regularly, offering best practices and relief in teaming with Warner for developing and testing your policies and procedures, disclosure language and client documents, and training for regulatory examinations, client complaints and more.
Watch the video below.
What Keeps CCOs Up at Night
Look for additional Warner vlog recordings in the near future from Warner’s Funds and Investments Industry Group.
