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.
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.
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.
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.