Responsible Officer Requirements under Chapters 3 and 4
Published on:
January 5, 2018
SIFMA outlined several outstanding concerns relating to the various Responsible Officer certifications required under Chapters 3 and 4. SIFMA greatly appreciates all the time and effort that has gone into the current guidance, and as key deadlines approach, our members are increasingly focused on making their initial certifications of compliance with these new rules.