CCO Buzz

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Episode 68: Practical Tips for Completing and Filing Forms ADV and CRS

On episode 68 of the CCO Buzz, Managing Director, Consultation Services, Tina Mitchell offers her practical tips for completing and filing Forms ADV and CRS. 

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Latest on CCO Buzz

Episode 67: Due Diligence of Investments

Sr. Compliance Consultant Kurt Nuñez joins us to discuss the Due Diligence of Investments on episode 67 of the CCO Buzz. 

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Episode 67: Due Diligence of Investments

Sr. Compliance Consultant Kurt Nuñez joins us to discuss the Due Diligence of Investments on episode 67 of the CCO Buzz. 

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Episode 66: Get to Know Jessica Larbie!

On episode 66 of the CCO Buzz, we get to know our Client Relations Executive, Jessica Larbie!   

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Episode 65: The SEC’s Examination Priority Areas for Advisers & Broker-Dealers in 2020

Lead Sr. Compliance Consultant Tina Mitchell joins us to discuss the SEC's examination priority areas for advisers and broker-dealers in 2020 on Episode 65 of the CCO Buzz.

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