CCO
20 May, 2021

Women in Portfolio Management: Outperforming the Field

Diversity in asset allocation is recognized as a key component of successful investment portfolio management. Kramer Levin Naftalis & Frankel LLP - Darina F. Delappe

CCO
20 May, 2021

CCO Liability and Supervisory Obligations Under FINRA Rule 3110

Regulatory Notice 22-10 (“Notice”), released on March 17, 2022, restates one of its usually unnoticed principles. Senior management is ultimately accountable.