entity · derived

Chief compliance officer

5 claims across 4 works, 2013–2016.

Derived node: assembled mechanically from the claims carrying chief-compliance-officer. A roster, not an adjudicated definition.

Every claim under this term

2317580-019 2013 design: CIAs reach into the day to day compliance operations of corporations by elevating the chief compliance officer, typically mandating the appointment of a CCO who reports directly to the CEO rather than
2317580-028 2013 mechanism: Because CIAs mandate a chief compliance officer and dictate how that officer interacts with the board, they increase the board's knowledge and monitoring of compliance, and a board possessing such kno
2337268-039 2013 condition: A chief compliance officer is effective only if he or she combines sufficient knowledge of IAA obligations with adequate authority to develop and enforce policies and procedures; knowledge without aut
2486570-019 2014 empirical: Although 45 percent of sampled agreements required improved communication and training, only 11 percent required the entity to create the position of chief compliance officer, so the most structural c
2739479-013 2016 condition: Firms that outsource the chief compliance officer role to third parties face heightened SEC scrutiny and examination risk, and the SEC has signaled that CCO liability arises where CCOs mislead regulat