Length of time given to broker/dealer CEO for them to complete the annual certifications of their firms' written supervisory policies and procedures; Deadline for the filing of Chief Compliance Officer designation; Reason for requiring a CEO Compliance Certification.Czernin...
Deals with the CEO Now Stands for Certifying Executive Officer Conference organized by the NRS in the U.S. on March 10 and 11, 2005. Importance of the conference to the National Association of Securities Dealers Rule 3013; Discussion of issues related to the ruling; Overview of the regulation...