Latest cco buzz

Episode 50: Regulation Best Interest

On episode 50, we discuss the recent passing of the Securities and Exchange Commission’s (SEC) Best Interest Rule. This episode unpacks the impact on the industry and is dedicated to help understand and unfold what Reg BI entails.

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Latest cco buzz

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.

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Episode 48: SAA Certification

June 07, 2019

On episode 48 we are joined by Core Compliance’s Senior Compliance Consultant Kurt Nuñez. He’s here to discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.

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Episode 47: Understanding the Liquidity Rule

May 27, 2019

On episode 47 we are joined by Core Compliance’s President Tito Pombra. He joins us today to give us some insight on the SEC Rule 22e-4, otherwise known as the “Liquidity Rule.”

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Episode 46: Meet James L. Smith

May 24, 2019

On episode 46 we’re joined by Core Compliance’s newest team member Senior Compliance Consultant James L. Smith. We'll get to know the newest asset to the team and learn a bit more about his own journey in the compliance industry. 

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Episode 45: P&P Manual Updates

May 20, 2019

On episode 45 we’re joined by Core Compliance’s Compliance Consultant Adam Stutz. We haven’t heard from him in a bit; so, he’s here to discuss the pillars of the “compliance rule.”

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Episode 44: How to Create a Strong Culture of Compliance

May 10, 2019

On episode 44 of the CCO Buzz we have Core Compliance President Tito Pombra discussing 10 key points on how to build a strong culture of compliance at any firm.

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Episode 43: Key Considerations for Investment Advisers Regarding Risk Alerts and Mutual Funds

May 03, 2019

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.

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Episode 42: Succession Planning Considerations

March 29, 2019

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.

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Episode 41: Best Practices Regarding the SEC's Share Class Selection Disclosure Initiative

March 15, 2019

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.

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