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. 

Read More

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. 

Read More

Episode 15: Senior$afe Act (Part 1)

August 29, 2018

In this week's episode, we have Core Compliance's CEO Michelle Jacko diving into the complexities of the Senior Safe Act and proper protocols, to best prepare for an SEC examination. 

Read More

Episode 14: Getting to Know Adam Stutz

August 17, 2018

We introduce and get to know Core Compliance & Legal Services' very own Compliance Consultant, Adam Stutz. Adam discusses his journey into compliance and provides tips to breaking into the industry.

Read More

Episode 13: Take-Aways from the OCIE Risk Alert on Advisory Fee Expense Issues

April 13, 2018

Michelle Jacko discusses key takeaways from the OCIE's recent Risk Alert on Advisory Fee Expense Issues.

Read More

Episode 12: P & P Manuals and What to Know in Compliance for Q2

April 06, 2018

Michelle Jacko, CEO of Core Compliance and Legal Services, is back this week to talk about Policy and Procedure Manual updates, and why you should be considering them now in Q2.

Read More

Episode 11: Recapping the 2018 IAA Investment Adviser Compliance Conference

March 23, 2018

This week, Jennifer Greene discusses the highlights of the 2018 Investment Adviser Compliance Conference, with the hot topics on everyone's mind as well as the most popular sessions of the conference.

Read More

Episode 10: Considerations for Hiring an Outsourced Compliance Consultant

March 16, 2018

When considering potential compliance consultants for your investment advisory firm to partner with, there's some key considerations you should have in mind. Gebriela Birhane discusses what your firm should be looking for in their compliance consultant.

Read More

Episode 9: Major Compliance Deadlines in 2018 - Second Quarter

March 09, 2018

There are some major deadlines approaching for investment advisers as we near the end of the first quarter and look ahead to Q2. Tune in to hear about some of the big ones to be aware of, and how to prepare so you don't miss the filing due dates.

Read More

Episode 8: Self Reporting Share Class Selection Disclosures

March 02, 2018

Special episode of the CCO Buzz this week - we talk about the SEC's recent announcement regarding self-reporting of share class selection disclosures in regards to mutual funds, and what you as a CCO need to be aware of to react to this initiative. 

Read More

Episode 7: 2018 SEC Exam Priorities, Part 3 - Tips for CCOs

February 23, 2018

Need to know what specific actions you should take as a CCO in light of the SEC's recent exam priorities? Michelle Jacko, CEO of Core Compliance℠, discusses the specifics of what CCOs should be considering in the upcoming weeks and months. 

Read More

Episode 6: SEC Exam Priorities, Part 2

February 16, 2018

Read More

< 1 ... 3 4 5 6 7 >