BD- Broker-Dealer Chief Compliance Officer (CCO) Transition Checklist

Changing or replacing a broker-dealer CCO is never an easy task.  If not done properly, firms can waste valuable time, money and human resources during the process. The Broker-Dealer 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.

Version/Update: V.4/December 1, 2021

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

Source/Author(s): Connexien