Latest cco buzz

Episode 64: GIPS 2020 - Are You Ready?

On episode 64 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the revised Global Investment Performance Standards effective as of January 1, 2020. 

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Latest cco buzz

Episode 63: Cybersecurity Training for Employees

On episode 63 of the CCO Buzz, Compliance Consultant Adam Stutz joins us to talk about the importance of cybersecurity training for employees as we begin the new year. 

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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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Episode 52: Fiduciary Duty

July 23, 2019

On episode 52, we talk about the SEC's issued interpretive guidance on an adviser’s standard of conduct, as mandated under the Investment Advisers Act of 1940.  

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Episode 51: Filing of Form 13F

July 19, 2019

On episode 51, we discuss the Filing of Form 13F.

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Episode 50: Regulation Best Interest

June 28, 2019

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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Episode 49: Best Execution – Is Your Review In Line With SEC Expectations?

June 14, 2019

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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