CCO Buzz

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Essential information for your Chief Compliance Officer.

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Episode 64: GIPS 2020 - Are You Ready?

On episode 64 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the revised Global Investment Performance Standards effective as of January 1, 2020. 

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Latest on CCO Buzz

Episode 63: Cybersecurity Training for Employees

On episode 63 of the CCO Buzz, Compliance Consultant Adam Stutz joins us to talk about the importance of cybersecurity training for employees as we begin the new year. 

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Episode 63: Cybersecurity Training for Employees

On episode 63 of the CCO Buzz, Compliance Consultant Adam Stutz joins us to talk about the importance of cybersecurity training for employees as we begin the new year. 

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Episode 62: End of Year Books and Records Retention Review

Sr. Compliance Consultant Kurt Nuñez offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz. 

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Episode 61: What Does the SEC Division of Enforcement's Annual Report Mean for Investment Advisers?

President Tito Pombra discusses the SEC Division of Enforcement's Annual Report on episode 61 of the CCO Buzz. 

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