Investment management partner Brian McCabe (Boston) authored an article titled “Strengthening Communication With the CCO” in the Oct. 7 issue of BoardIQ. Mr. McCabe notes that the SEC has increased its regulatory scrutiny of internal communications between boards and chief compliance officers, and he highlights ways boards can improve their level of rapport. He says, “While the CCO isn’t required to meet with the directors in person at every meeting, fund directors should look for opportunities to initiate conversations that give them insight into sensitive issues. Ultimately, shareholders benefit from disciplined and routine conversations between fund directors and their compliance chief.”
Stay Up To Date with Ropes & Gray
Ropes & Gray attorneys provide timely analysis on legal developments, court decisions and changes in legislation and regulations.
Stay in the loop with all things Ropes & Gray, and find our more about our people, culture, initiatives and everything that’s happening.
We regularly notify our clients and contacts of significant legal developments, news, webinars and teleconferences that affect their industries.