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.
On episode 53 we discuss a key component of a firm’s annual review – Cybersecurity Testing.
On episode 52, we talk about the SEC’s issued interpretive guidance on an adviser’s standard of conduct, as mandated under the Investment Advisers Act of 1940.
On episode 51, we discuss the Filing of Form 13F.
On episode 49 discuss the frequently cited deficiencies cited during routine exams, surround the importance of best execution reviews.