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.
Episode 35: Takeaways From the 2019 Core Compliance Workshop
On episode 35 of the CCO Buzz we discuss some key takeaways from each session of the 2019 Core Compliance Workshop.
CCO Buzz Podcast | Disclosures | Form ADV | Regulatory Examinations | Securities and Exchange Commission (SEC)
Episode 34: The Government Shutdown’s Impact on SEC Examinations
On episode 34 of the CCO Buzz we discuss the current state of the government, more so on the government shutdown and SEC Examinations. With no immediate solution in sight, we’re discussing the issues at hand with our very own CEO Michelle Jacko. … Read More
Episode 33: Risk Alert – Electronic Communications
On episode 33 of the CCO Buzz we discuss the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recent published National Exam Program Risk Alert titled, ” Observations from Investment Adviser Examination Relating to Electronic Messaging.”
Episode 32: 2019 SEC OCIE Exam Priorities (Part 2)
On this episode of the CCO Buzz we discuss the on the newly released 2019 SEC Exam Priorities and consideration for CCO’s in 2019.
CCO Buzz Podcast | Cybersecurity | Regulatory Examinations | Securities and Exchange Commission (SEC)
Episode 31: 2019 SEC OCIE Exam Priorities (Part 1)
In this CCO Buzz we discuss the newly released 2019 SEC Exam Priorities, as part of a two part series.
Episode 30: Custody Considerations
In this CCO Buzz we examine “constructive” custody and custody trapsand discuss steps firms are required to take when deemed to have custody.
Episode 29: Market Volatility
On this week’s episode we discuss Market Volatility and he’s also providing some key considerations for CCOs regarding shifts in market behavior.