CCO Buzz Podcast - Core Compliance

Episode 68: Practical Tips for Completing and Filing Forms ADV and CRS

March 20, 2020 by Core Compliance

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.

CCO Buzz Podcast | Due Diligence

Episode 67: Due Diligence of Investments

March 6, 2020 by Core Compliance

We discuss the Due Diligence of Investments on episode 67 of the CCO Buzz.

What You Need to Know About M&As and Business Transitions | Core Compliance

CCO Buzz Podcast | Form ADV

Episode 66: Get to Know our Client Relations Executive!

February 14, 2020 by Core Compliance

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

January 31, 2020 by Core Compliance

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.

CCO Buzz Podcast | Performance Advertising

Episode 64: GIPS 2020 – Are You Ready?

January 17, 2020 by Core Compliance

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.

CCO Buzz Podcast | Cybersecurity

Episode 63: Cybersecurity Training for Employees

January 3, 2020 by Core Compliance

On episode 63 of the CCO Buzz, we discuss the importance of cybersecurity training for employees as we begin the new year.

Annual Review | CCO Buzz Podcast | Investment Adviser

Episode 62: End of Year Books and Records Retention Review

December 20, 2019 by Core Compliance

Core Compliance offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz.

CCO Buzz Podcast | Disclosures

Episode 60: Are You Disclosing All Financial Compensation Conflicts?

November 22, 2019 by Core Compliance

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.