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 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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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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