RIA/BD CCO Charged with Providing Fabricated Compliance Documentation. In this case, SEC examiners requested compliance reviews related to the fund’s decision to invest in the securities of a company shortly before that company’s acquisition was announced. The CCO represented to the SEC that those reviews had been completed prior to the hedge fund’s investment in the company’s securities. The SEC, however, alleged that after failing to conduct and document such reviews as requested by her...By: Hardin Compliance Consulting LLC.