Episode 53: Cybersecurity Testing
On episode 53 we discuss a key component of a firm’s annual review – Cybersecurity Testing.
Episode 52: Fiduciary Duty
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.
Episode 51: Filing of Form 13F
On episode 51, we discuss the Filing of Form 13F.
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.