Subpart P. Subpart P—Designation of Chief Compliance Officer

• § 37.1500 - Core Principle 15—Designation of chief compliance officer.
• § 37.1501 - Chief compliance officer.

• APPENDIX

  • Appendix A to Part 37—Form SEF
  • Appendix B to Part 37—Guidance on, and Acceptable Practices in, Compliance with Core Principles