Latest cco buzz

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.

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Latest cco buzz

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.

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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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Episode 32: 2019 SEC OCIE Exam Priorities (Part 2)

January 11, 2019

On this episode of the CCO Buzz we are rejoined by Compliance Consultant Adam Stutz to continue our discussion on the newly released 2019 SEC Exam Priorities and consideration for CCO's in 2019.

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Episode 31: 2019 SEC OCIE Exam Priorities (Part 1)

January 04, 2019

In this CCO Buzz we have Compliance Consultant Adam Stutz rejoining us to briefly discuss the newly released 2019 SEC Exam Priorities, as part of a two part series.

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Episode 30: Custody Considerations

December 28, 2018

In this CCO Buzz we examine "constructive" custody and custody trapsand discuss steps firms are required to take when deemed to have custody.

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Episode 29: Market Volatility

December 21, 2018

On this week’s episode we have Core Compliance’s very own Senior Compliance Consultant Kurt Nuñez. He’s with us to discuss Market Volatility and he’s also providing some key considerations for CCOs regarding shifts in market behavior.

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Episode 28: Conflicts of Interest (Part 2)

December 14, 2018

On this week’s episode we are rejoined by Core Compliance’s CEO Michelle Jacko to continue our discussion on conflicts of interest. 

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