CCO Buzz

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Episode 42: Succession Planning Considerations

On episode 42 of the CCO Buzz we have  a special guest that we haven’t heard from in a while, CEO of Core Compliance Michelle Jacko. She’s here to discuss key considerations when it comes to succession planning.

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Latest on CCO Buzz

Episode 41: Best Practices Regarding the SEC's Share Class Selection Disclosure Initiative

We discuss disclosures and the SEC’s Share Class Selection Disclosure Initiative. Some news out of the SEC recently and we thought we’d share some tips and best practices that can be applied to firms as they complete their Form ADVs requirements.

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Episode 41: Best Practices Regarding the SEC's Share Class Selection Disclosure Initiative

We discuss disclosures and the SEC’s Share Class Selection Disclosure Initiative. Some news out of the SEC recently and we thought we’d share some tips and best practices that can be applied to firms as they complete their Form ADVs requirements.

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Episode 40: Tips on How to Prepare for a Regulatory Examination

We feature Core Compliance’s Lead Senior Compliance Consultant Tina Mitchell – she’s here to help us think outside the box and really be prepared for the unexpected as we discuss some tips on how to prepare for a regulatory examination.

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Episode 39: Verifying Personal Disclosures

On this week’s episode we feature Core Compliance’s Senior Compliance Consultant Kurt Nuñez discussing the art of verifying personal disclosures on episode 39 of the CCO Buzz Podcast.

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