This presentation will discuss the liability standard for Chief Compliance Officers as well as instances where the SEC has found CCOs liable for violations of the federal securities laws.  This presentation will also offer suggestions for CCO conduct as well as construction and operation of compliance programs in order to minimize risks for CCO liability.

CLE: Yes

Speakers: Andrew Rosell and Barry Y. Greenberg (General Counsel and Chief Compliance Officer
Cushing Asset Management, LP)

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