Ep. 103: 2022 SEC Compliance Outreach Program Overview
On Episode 103 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell provides an overview of the 2022 SEC Compliance Outreach Program Seminar.
Ep. 102: Compliance Priorities for Private Fund Advisers
On Episode 102 of the CCO Buzz podcast, Sr. Compliance Consultant Maggie Tavares joins us to talk about recent Risk Alerts focused on Private Fund Advisers.
Ep. 101: Preparing for Year-End: Investment Adviser Compliance Checklist
On episode 101 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell, provides a year-end compliance checklist for Investment Advisers.
Ep. 100: Updates and Insights on Supervisory Procedures – During and After the Pandemic
On episode 100 of the CCO Buzz, Sr. Compliance Consultant Janice Powell discusses supervisory processes in a pandemic and post-pandemic environment, including newly proposed supervisory regulations.
Episode 99: Using Compliance Technology to Manage Books and Records
On episode 99 of the CCO Buzz, our Sr. Compliance Consultant and Technology Specialist discusses how technology has become an integral part of effectively managing a compliance program and how different solutions can assist in recordkeeping and monitoring.
Episode 98: Robo-Advisers: Compliance Considerations and Regulatory Focus
On episode 98 of the CCO Buzz, we’re joined by Sr. Compliance Consultant Maggie Tavares to discuss common compliance failures related to robo-advisers, as well as the heightened regulatory focus on robo-advisory in recent years.
Episode 97: Creating a Culture of Compliance by Setting the Tone at the Top
On episode 97 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell and Sr. Compliance Analyst Chris Hufty join us to discuss establishing a culture of compliance – starting at the top.
Episode 96: How The 2022 SEC Exam Priorities will Affect Your Firm
On episode 96 of the CCO Buzz podcast, Tina Mitchell, Managing Director of Consultation Services, discusses the 2022 SEC Exam Priorities.
Episode 95: How Regulators Are Growing Their Focus on Cybersecurity
On episode 95 of the CCO Buzz podcast, we discuss the the growing focus of regulators on cybersecurity!
Episode 94: Developing a Risk Matrix for Your Compliance Program
On episode 94 of the CCO Buzz Podcast, Sr. Compliance Consultant Janice Powell joins us to discuss developing a usable Risk Matrix as an integral aspect of your compliance program!