As Chief Strategy Officer for CCO Tech and Co-CEO of Global Rhino (an affiliated company), I had the privilege of speaking on a panel at a national compliance conference with three esteemed industry colleagues, two in-house CCOs at asset management firms and a consulting expert in the hedge fund space. As a panel, we focused on “Tone at the Top - Culture of Compliance.” Through decades of experience in financial services, I’ve learned a lot about modifying, tweaking, and enhancing compliance practices to most effectively impact the corporate culture. Here are my top ten takeaways:
The Growing Complexity of Distribution
ON THE SURFACE, distributing mutual funds appears to be a tremendous opportunity that is ripe for success. This used to be the case, but as geopolitical and global economic events have transpired over the last 30 years, the challenges of managing money and selling investment product have grown in complexity.
CCO Technology is excited to announce the newest members of its executive team: Dina Tantra and Mark Baltimore, co-founders of Global Rhino, LLC. According to Bo Howell, CEO of CCO Tech, the firm has been focused on building the right team, including leaders in the financial services industry that could bring fresh and thoughtful insight to our mission of helping registered investment advisers automate their compliance needs. Bo highlighted Dina's and Mark's experience in the financial services industry and shared his enthusiasm for pairing the operational and distribution expertise of Global Rhino with the technology and compliance focus of CCO Tech.