CCO Buzz

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Essential information for your Chief Compliance Officer.

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Episode 79: Are You Prepared for a Cybersecurity Sweep Exam?

On  episode 79 of the CCO Buzz, Compliance Consultant Adam Stutz is here to discuss what firms should consider when preparing for a Cybersecurity Sweep Exam.

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Latest on CCO Buzz

Episode 78: Compliance Program Requirements for Registered Investment Companies

On episode 78 of the CCO Buzz, Senior Compliance Consultant James Smith discusses Rule 38a-1 under the Investment Company Act of 1940 and the requirements within compliance programs for Registered Investment Companies.

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Episode 78: Compliance Program Requirements for Registered Investment Companies

On episode 78 of the CCO Buzz, Senior Compliance Consultant James Smith discusses Rule 38a-1 under the Investment Company Act of 1940 and the requirements within compliance programs for Registered Investment Companies.

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Episode 77: Getting to Know Conor Dale!

On episode 77 of the CCO Buzz, we're getting to know a member of the Compliance Team, Compliance Analyst, Conor Dale!

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Episode 76: Making the Most of Your Annual Review Testing Opportunities

On episode 76 of the CCO Buzz, Sr. Compliance Consultant Kurt Nuñez discusses how to make the most of your Annual Review through simultaneous testing opportunities.

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