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.
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.
On episode 63 of the CCO Buzz, we discuss the importance of cybersecurity training for employees as we begin the new year.
Core Compliance offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz.
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.
On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.
On Episode 58, we discuss investment adviser principal trading and agency cross-transactions.
On Episode 57, we discuss the essentials of an effective Business Continuity Plan.
On Episode 56 , we take a look at the SEC’s release on proxy voting for investment advisers.