Overview
Of counsel Ryan Hayden and partners Stacie Hartman and Coy Garrison co-authored an article titled "Tips For CCOs Submitting Annual Compliance Reports," published by Law360. The article provides practical guidance to registrant firms submitting this year's annual compliance report to financial market regulators, the CFTC and SEC, keen on thoroughly scrutinizing compliance programs. It also gives an overview of CCO annual report rule requirements and guidance for swap dealer, security-based swap dealer, and futures commission merchant registrants.
