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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2018 SEC Exam Priorities, Part 1

February 12, 2018

 

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Episode 4: Answering 3 Common Questions about Crowdfunding and Regulatory Compliance

February 02, 2018

At Core Compliance, we're often asked about the regulatory compliance around crowd funding. When do you need to file specific forms, or what limits are there on advertising? Michelle Jacko, CEO, discusses the three most common questions we're asked in this episode of the CCO Buzz.

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Episode 3: Performance Advertising Issues for Investment Advisers

January 26, 2018

This week, Michelle Jacko discusses Performance Advertising issues, including reviews of key No Action letters from the SEC, and takeaways for your firm regarding what you should be aware of in your marketing materials. 

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Episode 2: Aging Client Considerations

January 19, 2018

Aging client considerations continue to be a regulatory focus year after year. Learn what you should be aware of and prepared for in this episode of CCO Buzz:

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CCO Buzz Episode 1: Practical Tips for Your Cybersecurity Program

January 11, 2018

How do you ensure that your financial institution is properly prepared in all aspects of Cybersecurity? 

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