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.
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...
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."
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.