What CEOs Need to Know About Compliance

Senior Compliance Consultant Diane Currie brings us today’s new episode of Legally Speaking: Broker-dealer and Investment Adviser Industry Insights. Diane focuses on the topic of CEOs and compliance. The SEC considers CEOs the top of the business food chain. And although CEOs may view their compliance departments as the department of “no,” it’s important for CEOs to create a tone of compliance that resonates throughout their organizations. Diane provides insight on the operation of compliance programs and departments and emphasizes the crucial role CEOs play in ensuring their effectiveness.