CCO Buzz Podcast: Recent Episodes
Core Compliance and Legal Services
CCLS offers customized regulatory compliance solutions that help empower our clients to achieve success.
On episode 105 of the CCO Buzz podcast, Sr. Compliance Consultant Matthew Rothchild takes a look at the SEC's Risk Alert, Observations from Broker-Dealer Examinations Related to Regulation Best Interest (“RBI”) and discuss its applicability to Investment Advisers.
On Episode 104 of the CCO Buzz podcast, Compliance Consultants Suzette Hagan and Christopher Hufty take a look at the impacts of Regulation S-ID on the industry.
On Episode 103 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell provides an overview of the 2022 SEC Compliance Outreach Program Seminar.
On Episode 102 of the CCO Buzz podcast, Sr. Compliance Consultant Maggie Tavares joins us to talk about recent Risk Alerts focused on Private Fund Advisers.
On episode 101 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell, provides a year-end compliance checklist for Investment Advisers.
On episode 100 of the CCO Buzz, Sr. Compliance Consultant Janice Powell discusses supervisory processes in a pandemic and post-pandemic environment, including newly proposed supervisory regulations.
On episode 99 of the CCO Buzz, Ji Kim discusses how technology has become an integral part of effectively managing a compliance program and how different solutions can assist in recordkeeping and monitoring.
On episode 98 of the CCO Buzz, we're joined by Sr. Compliance Consultant Maggie Tavares to discuss common compliance failures related to robo-advisers, as well as the heightened regulatory focus on robo-advisory in recent years.
On episode 97 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell and Sr. Compliance Analyst Chris Hufty join us to discuss establishing a culture of compliance – starting at the top.
On Episode 96 of the CCO Buzz podcast, we're joined by Tina Mitchell, Managing Director of Consultation Services, who discusses the 2022 SEC Exam Priorities.
On episode 95 of the CCO Buzz podcast, Compliance Consultant Jeremy Bolf joins us to discuss the the growing focus of regulators on cybersecurity!
On episode 94 of the CCO Buzz Podcast, Sr. Compliance Consultant Janice Powell joins us to discuss developing a usable Risk Matrix as an integral aspect of your compliance program!
On episode 93 of the CCO Buzz podcast, we're joined by Sr. Compliance Consultant Maggie Tavares to discuss the importance of adequate and accurate Advisory Fee Billing.
On episode 93 of the CCO Buzz podcast, Marketing Specialist Aimee Lastrella is joined by Starkweather & Shepley's Jessica Thayer to discuss our CCO of the Year Award.
On Episode 92 of the CCO Buzz podcast, Compliance Consultant Jeremy Bolf joins us to discuss Senior Investor Protections, which is a topic that should be assessed and evaluated annually.
On episode 91 of the CCO Buzz, we are lucky enough to be joined by Director of Consultation Services, Tina Mitchell, to discuss her annual Year-End Compliance Checklist for Investment Advisers.
On episode 90 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell joins us to offer her insight on the SEC's recent Wrap Fee Program Risk Alert.
On episode 89 of the CCO Buzz podcast, former State Securities regulator Jeremy Bolf gives us his tips and tricks for preparing for a State Examination.
On episode 88 of the CCO Buzz, Senior Compliance Consultant Kurt Nuñez discusses what your firm should be thinking about now to prepare for the New Marketing Rule.
On episode 87 of the CCO Buzz, we discuss the advantages of compliance technology with Core Compliance’s Managing Director of Consultation Services, Tina Mitchell.
On Episode 86 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell joins us to discuss the new ERISA exemption for financial professionals.
On episode 85 of the CCO Buzz, Senior Compliance Consultant Janice Powell joins us to discuss establishing an effective culture of compliance at your firm.
On episode 84 of the CCO Buzz podcast, Compliance Consultant Jeremy Bolf and Compliance Analyst Zachary Frank join us to discuss the new NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives.
For our first CCO Buzz episode of 2021, Senior Compliance Consultant Kurt Nuñez and Compliance Analyst Zachary Frank help us unpack the best methods for jump-starting your compliance program in 2021.
On episode 82 of the CCO Buzz, Senior Compliance Consultant James Smith joins us to discuss the importance of Compliance Training at any firm.
On this month's episode of the CCO Buzz, Core Compliance’s Managing Director of Consultation Services, Tina Mitchell, discusses Year-End Prep for Investment Advisers.
On episode 80 of the CCO Buzz, Senior Compliance Consultant Kurt Nuñez joins us to discuss vital considerations for conducting an Annual Review.
On this month's episode of the CCO Buzz, Adam Stutz is here to discuss what firms should consider when preparing for a Cybersecurity Sweep Exam.
On episode 78 of the CCO Buzz, Senior Compliance Consultant James Smith discusses Rule 38a-1 under the Investment Company Act of 1940 and the requirements within compliance programs for Registered Investment Companies.
On episode 77 of the CCO Buzz, we're getting to know a member of the Compliance Team, Compliance Analyst, Conor Dale!
On episode 76 of the CCO Buzz, Sr. Compliance Consultant Kurt Nuñez discusses how to make the most of your Annual Review through simultaneous testing opportunities.
On Episode 75 of the CCO Buzz, Tina Mitchell, Managing Director of Consultation Services, shares with us her tips for Performing Due Diligence on Service Providers during COVID-19.
On episode 74 of the CCO Buzz, Core Compliance’s Senior Compliance Consultant James Smith discusses supervision considerations for the current COVID-19 Era and how firms can start planning for the future.
On episode 73 of the CCO Buzz, Compliance Consultant Adam Stutz walks us through cybersecurity considerations for working from home during COVID-19.
On episode 72 of the CCO Buzz, Sr. Compliance Consultant Kurt Nuñez speaks with us about Business Continuity Plans as they relate to COVID-19.
On episode 70 of the CCO Buzz, we interview Jessica Thayer of Starkweather and Shepley Insurance Brokerage to learn more about the specifics of insurance coverage for investment advisers.
On episode 71 of the CCO Buzz, Compliance Consultant Adam Stutz joins us to discuss compliance considerations for robo-advisers.
On episode 69 of the CCO Buzz, we ask Compliance Consultant James Smith to tell us more about himself and his experience in the compliance industry.
On episode 68 of the CCO Buzz, Managing Director, Consultation Services, Tina Mitchell offers her practical tips for completing and filing Forms ADV and CRS.
On episode 67 of the CCO Buzz, we're joined by Sr. Compliance Consultant Kurt Nuñez to discuss the Due Diligence of Investments.
On episode 66 of the CCO Buzz, we get to know our Client Relations Executive, Jessica Larbie!
Lead Sr. Compliance Consultant Tina Mitchell joins us to discuss the SEC's examination priority areas for advisers and broker-dealers in 2020 on Episode 65 of the CCO Buzz.
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.
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.
On episode 62 of the CCO Buzz, Sr. Compliance Consultant Kurt Nuñez offers advice for your end of year books and records retention review.
On episode 60 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the frequently asked questions recently published by the SEC regarding financial compensation conflicts.
On Episode 59 of the CCO Buzz, we summarize a year end compliance checklist to help ensure all applicable compliance filings and reviews get completed by year-end.
On Episode 58 of the CCO Buzz, Compliance Consultant Adam Stutz joins us to discuss investment adviser principal trading and agency cross-transactions.
Ep. #57 Is Your Business Continuity Plan Adequate and Effective by Core Compliance and Legal Services
On Episode 56, we discuss the new interpretative guidance concerning the proxy voting responsibilities of investment advisers that was released by the SEC on August 21, 2019.
Today, on Episode 55, we will be discussing the new Form CRS that investment advisers and broker-dealers will need to file by June 2020.
On Episode 54, Part 2, of the CCO Buzz, we’re covering the OCIE Risk Alert, “Observation from Examination of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest.”
This week on Episode 54 Part 1, we will be discussing the recent risk alert, “Observation from Examination of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest” issued by OCIE.
Adam Stutz discusses cybersecurity testing as a key component of a firm’s annual review.
The SEC's issued interpretive guidance on an adviser’s standard of conduct mandated under the Investment Advisers Act of 1940.
Episode 51: On this week's episode we have Core Compliance's Senior Compliance Consultant Kurt Nuñez. He's here to answer all of our burning questions in regards to the filing of Form 13F.
Ep. 50: These past few week have been a whirlwind with the recent passing of the Securities and Exchange Commission’s (SEC) Best Interest Rule. This episode unpacks the impact on the industry and is dedicated to help understand and unfold what Reg BI entails.
Ep: 49: On this episode of the CCO Buzz we cover Best Execution alongside SEC expectations
Ep. 48: This week on the CCO Buzz we are joined by Senior Compliance Consultant Kurt Nuñez. He’s here to discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.
Ep. 46: This week we are in for a treat, we have the newest member of the Core Compliance team Senior Compliance Consultant James L. Smith. James joins our team with years of experience in compliance, specifically in the broker-dealer sphere.
On episode 45, we’re going to hit the ground running as this episode is quite a doozy. We’ve got a lot to cover and not a lot of time. Heck, this might even have to be a two-parter because there is that much information – but we’ll see. Today, 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.”
Episode 43 of the CCO Buzz, features Core Compliance's Lead Senior Compliance Consultant Tina Mitchell. She’s back to discuss some key considerations for Investment Advisers of Mutual Funds.
Ep. 42: We have Core Compliance's CEO Michelle Jacko discussing key considerations when it comes to developing a comprehensive succession plan.
Ep. 41: 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.
Ep. 40: 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.
Ep. 39: On this week’s episode we feature Core Compliance’s Senior Compliance Consultant Kurt Nuñez. He’s here to discuss the art of verifying personal disclosures
Ep. 37 features Core Compliance’s Compliance Consultant Adam Stutz. Adam will be discussing some key points regarding FINRA’s 2019 Examination Priorities.
Ep. 36: We will 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.
Episode 35: We discuss some key takeaways from each session of the 2019 Annual Core Compliance Workshop.
Episode 34: We're discussing the issues at hand with our very own CEO Michelle Jacko. She’s bring to light the questions that may arise in this current uncertain territory and the best steps moving forward, in regard to the current state of the government shutdown.
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."
Ep. 32: Jumping right back to where we left off, we have Core Compliance's Adam Stutz rejoining us to continue our discussion on the 2019 SEC OCIE's Exam Priorities.
Ep. 31: In this CCO Buzz we have Compliance Consultant Adam Stutz rejoining us to briefly discuss the newly released 2019 SEC Exam Priorities, as part of a two part series.
Ep. 30: On this episode of the CCO Buzz, we examine a few custody traps and discuss steps firms are required to take when deemed to have custody.
Ep. 29: Features Core Compliance’s very own Senior Compliance Consultant Kurt Nuñez discussing Market Volatility. Kurt will provide insight and some key considerations for CCOs regarding shifts in market behavior.
Ep. 28: On this week’s episode we are rejoined by Core Compliance’s CEO Michelle Jacko to continue our discussion on conflicts of interest.
On this week’s episode we have Core Compliance’s CEO Michelle Jacko. Michelle is here to speak on conflicts of interest. Our conversation was a little bit of a dive deep into some key issues, so we had to make it into a two-part series
Episode 26: On this week’s episode we have Core Compliance’s very own Adam Stutz. Adam is rejoining us this week to speak on a specialty of his – cybersecurity. But this time around he’ll be discussing the buzzworthy topic of Identity Theft Red flags.
This week, on episode 25, we are joined by Core Compliance’s Senior Compliance Consultant, Kurt Nuñez. With his 17 plus years of extensive experience in the securities industry, Kurt discusses the intricacies of Due Diligence performance, as well as best practices when it comes to Due Diligence Investigations.
Episode 24 features Core Compliance’s Lead Senior Compliance Consultant, Tina Mitchell. Tina’s back to discuss the integral steps to performing a Risk Assessment and informs our audience of core risk areas. She also provides key examples and scenarios that listeners can apply to their own assessments.
Ep. 23: To help everyone get into the spooky Halloween Spirit, episode 23 features Core Compliance’s CEO Michelle Jacko discussing a scary matter in 2018, cybersecurity breaches. But more so, she’ll be focusing on a recent SEC enforcement action with Voya Financial Advisors.
Ep. 22: Core Compliance’s very own Compliance Consultant Adam Stutz, rejoins us this week to jump right back in to share his insight directly from the NFA Rule book.
Episode 21: Core Compliance's very own Compliance Consultant Adam Stutz discusses the National Futures Association (“NFA”) board's recent released rules via the Interpretive Notice 9073 – Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities, as well as a deep dive into the NFA Rulebook.
Episode 20: On this week’s episode of the CCO Buzz we have Senior Compliance Consultant Robert Boeche. He brings to light a recent issue regarding independent contractor and employee classification.
Episode 19: We have Core Compliance’s very own Lead Senior Compliance Consultant Tina Mitchell discussing a few helpful tips to consider when preparing for the close of 2018 and firm's compliance programs.
Episode 18: Compliance Consultant Adam Stutz discusses the hot topic of Cybersecurity, but more importantly he’ll be focusing on the value of Cybersecurity Training and Mentorship in today’s evolving industry.
Episode 17: In June 2018, California Governor Jerry Brown signed the CA Consumer Privacy Act of 2018 into law. In this episode of the CCO Buzz, CEO Michelle Jacko explains the major provisions within the legislation and offers key considerations financial institutions may want to review in preparation.
In Episode 16 of the CCO Buzz, Core Compliance CEO Michelle Jacko continues her discussion on the Senior Safe Act and senior investor issues.
Episode 15: In our 2-pat series, CEO Michelle Jacko discusses considerations Investment Advisors should be considering with regards to Senior Safe Protocols, in light of the current SEC Examination Program.
Episode 14: 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.
Michelle Jacko discusses key takeaways from the OCIE's recent Risk Alert on Advisory Fee Expense Issues.
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.
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.
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.
The SEC's recent announcement regarding self-reporting of mutual fund share class selection disclosures is one that should concern many broker dealers and investment advisers. Learn more about what you should be aware of in this week's CCO Buzz:
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 that CCOs should be considering in the upcoming weeks and months.
This week, Michelle Jacko talks about the SEC's areas of focus for their 2018 regulatory exams.
On this week's CCO Buzz, we will be talking about the 2018 National Exam Program Examination Priorities, which was just issued on February 7, 2018 by the US Securities and Exchange Commission.
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.
This week, Michelle Jacko discusses what investment advisers and CCOs need to be aware of when it comes to performance advertising, and the potential issues that firms may encounter.
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:
How do you ensure that your financial institution is properly prepared in all aspects of Cybersecurity?
Michelle Jacko, CEO of Core Compliance℠, discusses the essentials of cybersecurity preparedness in this first episode of the CCO Buzz - Cybersecurity Preparedness for Financial Institutions.