Latest cco buzz

Episode 61: What Does the SEC Division of Enforcement's Annual Report Mean for Investment Advisers?

President Tito Pombra discusses the SEC Division of Enforcement's Annual Report on episode 61 of the CCO Buzz. 

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Latest cco buzz

Episode 60: Are You Disclosing All Financial Compensation Conflicts?

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. 

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Episode 59: Preparing for Year-End

November 08, 2019

On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.

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Episode 58: Principal Trading & Agency Cross-Transactions

October 25, 2019

On Episode 58, Compliance Consultant Adam Stutz joins us to discuss investment adviser principal trading and agency cross-transactions.

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Episode 57: Is Your Business Continuity Plan Adequate and Effective?

October 04, 2019

On Episode 57, we discuss the essentials of an effective Business Continuity Plan. 

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Episode 56: Proxy Voting for Investment Advisers

September 20, 2019

On Episode 56 , we take a look at the SEC's release on proxy voting for investment advisers. 

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Episode 55: Form CRS

September 06, 2019

On Episode 55 , we will be discussing the new Form CRS. 

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Episode 54: OCIE Risk Alert Part 2

August 23, 2019

On Episode 54 Part 2, we continue discussing the recent OCIE Risk Alert. 

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Episode 54: OCIE Risk Alert Part 1

August 13, 2019

On episode 54 Part 1 we discuss the recent OCIE Risk Alert. 

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Episode 53: Cybersecurity Testing

August 05, 2019

On episode 53 we discuss a key component of a firm's annual review - Cybersecurity Testing. 

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