On episode 54 Part 1 we discuss the recent OCIE Risk Alert.
Tune in to the CCO Buzz - where Industry Expert Michelle Jacko weighs in on the latest news in the regulatory and financial space.
What should your firm be focusing on this week?
Essential information for your Chief Compliance Officer.
On episode 53 we discuss a key component of a firm's annual review - Cybersecurity Testing.
On episode 52, we talk about the SEC's issued interpretive guidance on an adviser’s standard of conduct, as mandated under the Investment Advisers Act of 1940.