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Episode 49: Best Execution – Is Your Review In Line With SEC Expectations?

On episode 49 discuss the frequently cited deficiencies cited during routine exams, surround the importance of best execution reviews.

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Latest on CCO Buzz

Episode 48: SAA Certification

On episode 48 we are joined by Core Compliance’s Senior Compliance Consultant Kurt Nuñez. He’s here to discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.

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Episode 48: SAA Certification

On episode 48 we are joined by Core Compliance’s Senior Compliance Consultant Kurt Nuñez. He’s here to discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.

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Episode 47: Understanding the Liquidity Rule

On episode 47 we are joined by Core Compliance’s President Tito Pombra. He joins us today to give us some insight on the SEC Rule 22e-4, otherwise known as the “Liquidity Rule.”

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Episode 46: Meet James L. Smith

On episode 46 we’re joined by Core Compliance’s newest team member Senior Compliance Consultant James L. Smith. We'll get to know the newest asset to the team and learn a bit more about his own journey in the compliance industry. 

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