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Episode 13: Take-Aways from the OCIE Risk Alert on Advisory Fee Expense Issues

Michelle Jacko discusses key takeaways from the OCIE's recent Risk Alert on Advisory Fee Expense Issues.

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Latest on CCO Buzz

Episode 12: P & P Manuals and What to Know in Compliance for Q2

Michelle Jacko, CEO of Core Compliance and Legal Services, is back this week to talk about Policy and Procedure Manual updates, and why you should be considering them now in Q2.

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Episode 12: P & P Manuals and What to Know in Compliance for Q2

Michelle Jacko, CEO of Core Compliance and Legal Services, is back this week to talk about Policy and Procedure Manual updates, and why you should be considering them now in Q2.

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Episode 11: Recapping the 2018 IAA Investment Adviser Compliance Conference

This week, Jennifer Greene discusses the highlights of the 2018 Investment Adviser Compliance Conference, with the hot topics on everyone's mind as well as the most popular sessions of the conference.

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Episode 10: Considerations for Hiring an Outsourced Compliance Consultant

When considering potential compliance consultants for your investment advisory firm to partner with, there's some key considerations you should have in mind. Gebriela Birhane discusses what your firm should be looking for in their compliance consultant.

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