CCO Buzz

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Essential information for your Chief Compliance Officer.

Latest on CCO Buzz

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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Latest on CCO Buzz

Episode 60: Are You Disclosing All Financial Compensation Conflicts?

On episode 60 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the frequently asked questions, published by the SEC, that provide guidance on disclosure by investment advisers of compensation arrangements and surrounding conflicts. 

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Episode 60: Are You Disclosing All Financial Compensation Conflicts?

On episode 60 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the frequently asked questions, published by the SEC, that provide guidance on disclosure by investment advisers of compensation arrangements and surrounding conflicts. 

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Episode 59: Preparing for Year-End

On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.

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Episode 58: Principal Trading & Agency Cross-Transactions

On Episode 58, Compliance Consultant Adam Stutz joins us to discuss investment adviser principal trading and agency cross-transactions.

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