FoundationsFebruary 18, 2025·1 min read

CCO (Chief Compliance Officer)

The individual designated as responsible for administering the adviser's compliance program. RIAs must designate a CCO under Rule 206(4)-7. The CCO oversees the compliance manual, conducts the annual compliance review, manages personal trading oversight, handles regulatory filings, and addresses compliance issues.

For smaller firms, the CCO role is often held by a principal alongside other responsibilities. The CCO is identified on Form ADV.

This article is for informational purposes only and does not constitute legal advice. Consult qualified professionals for guidance specific to your situation.

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