CCO Buzz

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Essential information for your Chief Compliance Officer.

Latest on CCO Buzz

Episode 35: Takeaways From the 2019 Core Compliance Workshop

On episode 35 of the CCO Buzz we discuss some key takeaways from each session of the 2019 Core Compliance Workshop. 

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Latest on CCO Buzz

Episode 34: The Government Shutdown's Impact on SEC Examinations

On episode 34 of the CCO Buzz we discuss the current state of the government, more so on the government shutdown and SEC Examinations. With no immediate solution in sight, we're discussing the issues at hand with our very own CEO Michelle Jacko. She’s uncovers some of the questions that may arise...

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Episode 34: The Government Shutdown's Impact on SEC Examinations

On episode 34 of the CCO Buzz we discuss the current state of the government, more so on the government shutdown and SEC Examinations. With no immediate solution in sight, we're discussing the issues at hand with our very own CEO Michelle Jacko. She’s uncovers some of the questions that may arise...

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Episode 33: Risk Alert - Electronic Communications

On episode 33 of the CCO Buzz we discuss the Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") recent published National Exam Program Risk Alert titled, " Observations from Investment Adviser Examination Relating to Electronic Messaging." 

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Episode 32: 2019 SEC OCIE Exam Priorities (Part 2)

On this episode of the CCO Buzz we are rejoined by Compliance Consultant Adam Stutz to continue our discussion on the newly released 2019 SEC Exam Priorities and consideration for CCO's in 2019.

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