Latest cco buzz

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.

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Latest cco buzz

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.

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Episode 40: Tips on How to Prepare for a Regulatory Examination

March 08, 2019

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.

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Episode 39: Verifying Personal Disclosures

March 01, 2019

On this week’s episode we feature Core Compliance’s Senior Compliance Consultant Kurt Nuñez discussing the art of verifying personal disclosures on episode 39 of the CCO Buzz Podcast.

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Episode 38: Welcome Our New President Tito Pombra

February 22, 2019

We have a new President on President's Day - how ironic! On this episode of CCO Buzz Podcast we take a moment to welcome and get to know our new President Manoj K. Pombra, or as everyone knows him as Tito Pombra.

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Episode 37: FINRA 2019 Exam Priorities

February 15, 2019

On episode 37 of the CCO Buzz we discuss some key points regarding the newly released 2019 FINRA Examination Priorities.

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Episode 36: Q1 - Form ADV Amendments and Disclosing Conflicts of Interest

February 08, 2019

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.

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Episode 35: Takeaways From the 2019 Core Compliance Workshop

February 01, 2019

On episode 35 of the CCO Buzz we discuss some key takeaways from each session of the 2019 Core Compliance Workshop. 

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Episode 34: The Government Shutdown's Impact on SEC Examinations

January 25, 2019

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. She’s uncovers some of the questions that may arise...

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Episode 33: Risk Alert - Electronic Communications

January 18, 2019

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." 

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