Episode 69: Meet Our Sr. Compliance Consultant – Part 2
On episode 69 of the CCO Buzz, we ask our Sr. Compliance Consultant to tell us more about himself and his experience in the compliance industry.
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.
Episode 66: Get to Know our Client Relations Executive!
On episode 66 of the CCO Buzz, we get to know our Client Relations Executive!
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.
Episode 62: End of Year Books and Records Retention Review
Core Compliance offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz.
Episode 60: Are You Disclosing All Financial Compensation Conflicts?
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.
Episode 59: Preparing for Year-End
On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.