An investment management community rich in compliance and legal resources.
Log In
Subscribe
Contact Us
About 40Act.com
Search
Advanced Search
Investment Advisers
Subjects
Advertising
Advisory Contract
Advisory Personnel
Anti-Money Laundering
Bad Actors
Books and Records
Brokerage
Code of Ethics
Compliance
Custody
Cybersecurity
Disaster Recovery
Disclosure, Brochure and Delivery
Electronic Delivery
Exemptive Orders and No-Action Letters
Family Office
Fees
Fiduciary Duty
Foreign Advisers
Fraud and Other Prohibitions
Gifts and Entertainment
Identity Theft (Red Flag) Program
Insider Trading
Inspections
Investment Advice
Pay to Play
Privacy
Proxy Voting
Registration
SEC Enforcement
Securities Exchange Act Reporting
Short Sales
Social Media
Solicitation Arrangements
Sub-Advisers
Trades
Valuation
Wrap Accounts
Whistleblowers
How-To
Chief Compliance Officer
Compliance Program
Contracting with Clients and Service Providers
Drafting and Negotiating Contracts
Designations
Documentation and Content Management
Getting Started
Policies and Procedures
SEC Enforcement Tips
Supervisory Structure
Surviving an SEC Exam
Understanding Whistleblowers
Reference
Articles, Memos and Surveys
Compliance Documents
Contracts
Disclosure Documents
Forms
Law Library
Miscellaneous Documents
Organizational Documents
Community
Link Lists
Contribute
Calendar
SEC Exam Document Requests
ETF & SuperTrust History Files
Investment Advisers Act of 1940 - Statute
Investment Advisers Act of 1940 - Rules
Other Laws & Rules
Home
»
Investment Advisers
»
Reference
»
CCO Duties Descriptions and Procedures
Reference
CCO Duties Descriptions and Procedures
Compliance and Oversight--Sample
CCO Duties--Sample
Back to Top
Articles, Memos and Surveys
Surveys
Compliance Documents
Annual Review Matrices
Compliance Calendars
Compliance Manuals
Cover Pages
Introduction Documents
Key Personnel Lists
Organization and Responsibilities Pages
Table of Contents
Forms - Reports
Policies and Procedures
Advertising Procedures
Advisory Contract Procedures
Affiliated Persons Transactions Procedures
AML Procedures
Bank Secrecy Act Procedures
Beneficial ownership reporting-stock accumulation-tender offers
Blue Sky Registration and Compliance Procedures
Books and Recordkeeping Policies and Procedures
Business Continuity Procedures
CCO and Supervised Persons Identification Procedures
CCO Duties Descriptions and Procedures
Chinese Wall Procedures
Client Account and Maintenance Procedures
Client Complaints Procedures
Code of Ethics Procedures
Compliance Oversight Policies and Procedures
Corporate Actions Procedures
Custody Procedures
Disclosure and Filing Procedures
Disclosures to Clients Procedures
Electronic Communications and Social Media Policies and Procedures
ERISA Compliance
Fees Policies and Procedures
Fiduciary Duties Documents and Procedures
Gifts and Entertainment Procedures
Identity Theft - Red Flags
Insider Trading Procedures
Miscellaneous Policies and Procedures
Pay to Play and Lobbyist Registration Procedures
Pay to Play Procedures
Personal Securities Trading
Policital Contributions Procedures
Portfolio Compliance Procedures
Portfolio Management Procedures
Privacy Procedures
Proxy Voting Procedures
Recordkeeping Procedures
Registration Procedures
Solicitor Fees and Payment Procedures
Special Reporting Requirement Procedures
Supervisory Procedures
Taft Hartley Reporting Procedures
Trade Error Procedures
Trading and Brokerage Procedures
Valuation Procedures
Contracts
Miscellaneous Contracts--Investment Advisers
Advisory Contracts
Sample Investment Advisory Contracts
Template Advisory Contracts
Cash Referral Fee Contracts
Research (Non-Adivsory) Agreements
Sub-Advisory Agreements
Disclosure Documents
Opt Out Notices
Part 1As
Part 1Bs
Part 2As
Part 2Bs
Privacy Notices
Solicitor Disclosure Documents
Wrap Account Brochures
Forms
1933 Act Forms
1934 Act Forms
Advisers Act Forms
Hedge Fund Adviser Forms
IARD Forms
Investment Adviser Representative Forms
Law Library
FINRA Guidance
40Act.com Guidance
Cases
IARD Guidance
Laws and Rules
Investment Advisers Act of 1940 - Statute
Investment Advisers Act of 1940 - Rules
Legislation - Bills
Miscellaneous Guidance
NASAA Guidance
OCIE Materials
OCIE Industry Letters
Brokerage Guidance
ComplianceAlerts
National Exam Program Risk Alerts
OCIE Brochures
OCIE Exam Requests
SEC Enforcement Actions
Advertising - Performance - Social Media
Advisory Fees
Books & Records
Brokerage and Trading
Compliance Programs
Cross Trades
Custody Cases
Cybersecurity
Disqualified and ineligible firms and individuals
Failure to Supervise
Foreign Currency
Fraud - False Account Statements
Fraud - Misappropriation
Fraud - Omissions
Front Running
Gifts and Entertainment Actions
Insider Trading Actions
Omnibus Accounts
Pay-to-Play Actions
Personal Trading
Principal Transactions
Registration and Exemptions
Statistics
Trade Allocation
Web Sites
Whistleblower Awards
Wrap Account Actions
SEC Exemptive Orders
Cash Solicitation Orders
Definition of Adviser Orders
Family Office Orders
Pay-to-Play Orders
Performance Fee Orders
SEC Guidance
1934 Act Filings
Brokerage and Soft Dollars
Custody Guidance
Electronic Delivery
Family Office Rule
General SEC Guidance
IM Guidance Updates
IM Information Updates
Pay-to-Play Issues
Principal Trade Guidance
Privacy Notice Guidance
Proxy Voting and Proxy Advisory Services
Registration Issues
Social Media Guidance
SEC No-Action Letters
Advertising - Investment Adviser
Advisory Fees
Advisory Representatives
Affiliated Persons
Agency Cross Transactions
Beneficial Ownership Qualified Purchaser
Bunching
Cash Solicitation
Cash Solicitation - Solicitors
Code of Ethics
Custody - Investment Advisers
Disclosure and Filing Procedures
Employee Benefit Plans
Family Office Exclusion
Fiduciary Duties
Foreign Investment Advisers
Hedge Clauses
Investment Advisers Act Status - Publishers
Investment Advisers Registration
Mini-account Program
Pay to Play Procedures
Performance Fees
Personal Securities Transactions
Principal Transaction
Private Investment Companies
Recordkeeping Requirements - Investment Adviser Separate Accounts
Recordkeeping Requirements - Investment Advisers
Registration Guidance
Research
SEC Rule Releases
Adviser Registration Requirements - Rule 203A-1
Cash Solicitation - Rule 206(4)-3
Code of Ethics - Investment Adviser - Rule 204A-1
Compliance Programs - Rule 206(4)-7
Custody - Rule 206(4)-2
Family Offices - Rule 202(a)(11)(G)-1
Foreign Private Advisers - Rule 202(a)(30)-1
Identity Theft
Internet Adviser Exemption
Performance Fees - Rule 205-3
Political Contributions - Rule 206(4)-5
Pooled Investment Vehicles (Hedge Funds) - Rule 206(4)-7
Principal Trades - Temporary - Rule 206(3)-3
Privacy Notice - Regulation S-P
Private Fund Adviser Exemption - Rule 203(m)-1
Private Fund Adviser Reporting - Rule 204(b)-1
Proxy Voting - Rule 206(4)-6
SEC Registration Application - Rule 203-1
SEC Registration Eligibility - Rule 203A-1
SEC Registration Exemption - Rule 203A-2
Small Entities - Rule 0-7
Venture Capital Fund Adviser Exemption - Rule 203(l)(1)
Whistleblowers
Withdrawal from Registration - Rule 203-2
Wrap Fee Programs
SEC Speeches
Andrew Ceresney
Kara Stein
Mary Jo White
Norm Champ
Miscellaneous Documents
Insurance
Organizational Documents
Articles of Incorporation
Bylaws
Certificate of Limited Partnership
Certificate of Trust
Limited Partnership Agreements
LLC Certificate of Organization
LLC Operating Agreement
Operating Agreements
Shareholder Agreements
