CCO Buzz

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Essential information for your Chief Compliance Officer.

Latest on CCO Buzz

Episode 81: Preparing for Year-End

On this month's episode of the CCO Buzz, Core Compliance’s Managing Director of Consultation Services, Tina Mitchell, discusses Year-End Prep for Investment Advisers.

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Latest on CCO Buzz

Episode 80: Vital Considerations for Conducting an Annual Review

On episode 80 of the CCO Buzz, Senior Compliance Consultant Kurt Nuñez joins us to discuss vital considerations for conducting an Annual Review.

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Episode 80: Vital Considerations for Conducting an Annual Review

On episode 80 of the CCO Buzz, Senior Compliance Consultant Kurt Nuñez joins us to discuss vital considerations for conducting an Annual Review.

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Episode 79: Are You Prepared for a Cybersecurity Sweep Exam?

On  episode 79 of the CCO Buzz, Compliance Consultant Adam Stutz is here to discuss what firms should consider when preparing for a Cybersecurity Sweep Exam.

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Episode 78: Compliance Program Requirements for Registered Investment Companies

On episode 78 of the CCO Buzz, Senior Compliance Consultant James Smith discusses Rule 38a-1 under the Investment Company Act of 1940 and the requirements within compliance programs for Registered Investment Companies.

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