Episode 79: Are You Prepared for a Cybersecurity Sweep Exam?
On episode 79 of the CCO Buzz we discuss what firms should consider when preparing for a Cybersecurity Sweep Exam.
Episode 78: Compliance Program Requirements for Registered Investment Companies
On episode 78 of the CCO Buzz, our Senior Compliance Consultant discusses Rule 38a-1 under the Investment Company Act of 1940 and the requirements within compliance programs for Registered Investment Companies.
Episode 77: Getting to Know our Compliance Analyst!
On episode 77 of the CCO Buzz, we’re getting to know a member of the Compliance Team!
Episode 76: Making the Most of Your Annual Review Testing Opportunities
On episode 76 of the CCO Buzz, Core Compliance discusses how to make the most of your Annual Review through simultaneous testing opportunities.
Episode 75: Performing Due Diligence on Service Providers during COVID-19
On Episode 75 of the CCO Buzz, Tina Mitchell, Managing Director of Consultation Services, shares with us her tips for Performing Due Diligence on Service Providers during COVID-19.
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.