Episode 49: Best Execution – Is Your Review In Line With SEC Expectations?
On episode 49 discuss the frequently cited deficiencies cited during routine exams, surround the importance of best execution reviews.
Episode 48: SAA Certification
On episode 48 we discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.
Episode 45: P&P Manual Updates
On episode 45 we’re here to discuss the pillars of the “compliance rule.”
Episode 43: Key Considerations for Investment Advisers Regarding Risk Alerts and Mutual Funds
On episode 43 of the CCO Buzz we have Lead Senior Compliance Consultant Tina Mitchell. She’s here to discuss key considerations for Investment Advisers of Mutual Funds.
Episode 42: Succession Planning Considerations
On episode 42 of the CCO Buzz we have a special guest that we haven’t heard from in a while, CEO of Core Compliance Michelle Jacko. She’s here to discuss key considerations when it comes to succession planning.
Episode 41: Best Practices Regarding the SEC’s Share Class Selection Disclosure Initiative
We discuss disclosures and the SEC’s Share Class Selection Disclosure Initiative. Some news out of the SEC recently and we thought we’d share some tips and best practices that can be applied to firms as they complete their Form ADVs requirements.
Episode 40: Tips on How to Prepare for a Regulatory Examination
We feature Core Compliance’s Lead Senior Compliance Consultant Tina Mitchell – she’s here to help us think outside the box and really be prepared for the unexpected as we discuss some tips on how to prepare for a regulatory examination.
Episode 39: Verifying Personal Disclosures
On this week’s episode we discuss the art of verifying personal disclosures on episode 39 of the CCO Buzz Podcast.
Episode 37: FINRA 2019 Exam Priorities
On episode 37 of the CCO Buzz we discuss some key points regarding the newly released 2019 FINRA Examination Priorities.
Episode 36: Q1 – Form ADV Amendments and Disclosing Conflicts of Interest
On episode 36 of the CCO Buzz we cover some frequently asked questions, or FAQs, that the team has seen, and heard, as we are currently assisting clients with their first quarter, (“Q1”) along with their annual updates.