Episode 74: Supervision Considerations under the COVID – 19 Pandemic
On episode 74 of the CCO Buzz, our Senior Compliance Consultant discusses supervision considerations for the current COVID-19 Era and how firms can start planning for the future.
Episode 73: Cybersecurity for Working from Home During COVID-19
On episode 73 of the CCO Buzz, we discuss cybersecurity considerations for working from home during COVID-19.
Episode 72: Business Continuity and COVID-19
On episode 72 of the CCO Buzz, we discuss Business Continuity Plans as they relate to COVID-19.
Episode 71: Considerations for Robo-Advisers
On episode 71 of the CCO Buzz we discuss compliance considerations for robo-advisers.
Episode 70: Interview with Jessica Thayer of Starkweather and Shepley Insurance Brokerage
On episode 70 of the CCO Buzz, we interview Jessica Thayer of Starkweather and Shepley Insurance Brokerage to learn more about the specifics of insurance coverage for investment advisers.
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.
Episode 67: Due Diligence of Investments
We discuss the Due Diligence of Investments on episode 67 of the CCO Buzz.
Broker-Dealers | CCO Buzz Podcast | Cybersecurity | Regulatory Examinations | Securities and Exchange Commission (SEC)
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.
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.
Episode 63: Cybersecurity Training for Employees
On episode 63 of the CCO Buzz, we discuss the importance of cybersecurity training for employees as we begin the new year.