Investment Adviser Chief Compliance Officer (CCO) Transition Checklist

Changing or replacing an Investment Adviser CCO is never an easy task.  If not done properly, firms can waste valuable time, money, and human resources during the process. The Investment Adviser CCO Transition Checklist serves as a valuable tool for addressing, in sequential order, the key internal and regulatory considerations while keeping you on track with managing a smooth and effective transition.  The customizable Checklist includes five separate sections and over fifty separate touchpoints for tracking, monitoring, and managing the CCO transition process. Members also viewed the Investment Adviser New Hire Onboarding Compliance Checklist, Investment Adviser New Hire Due Diligence Form and Broker-Dealer CCO Transition Checklist.

Version/Update: V.5/December 28, 2021

Total Page Count/Format: 1/.xlsx (landscape)

Source/Author(s): Connexien