The Investment Adviser Association’s 2011 benchmarking survey finds that two-thirds of all chief compliance officers wear more than one hat.
And that nearly a quarter of the 400 firms surveyed do not even have a full-time person devoted to legal and compliance issues.
Here is a slide show that shows the level of commitment to compliance with legal and regulatory requirements, three years after the global financial crisis and one year after the enactment of the Dodd-Frank Wall Street Reform Act.
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