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01-01-2024
Business

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In the final release adopting the Compliance Programs Rules, the SEC indicated which TWO are required of the individual designated as Chief Compliance Officer (CCO)?
1) Must be competent and knowledgeable regarding the Investment Advisers Act of 1940.
2) Must oversee SEC examinations of the adviser.
3) Must be empowered to enforce the written policies and procedures.
4) Must be conversant with the federal securities laws.

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