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Location:

United States

Twitter:

@CoreCLS

Language:

English

Contact:

619.278.0020


Episodes

Take Aways from the OCIE Risk Alert on Advisory Fee Expense Issues

4/12/2018
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Michelle Jacko discusses key takeaways from the OCIE's recent Risk Alert on Advisory Fee Expense Issues.

Duration:00:06:25

Considerations for Hiring an Outsourced Compliance Consultant

3/12/2018
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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.

Duration:00:06:05

Major Compliance Deadlines for 2018 - Second Quarter

3/8/2018
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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.

Duration:00:06:07

SEC Exam Priorities Part 2 - Specific Areas of Focus

2/15/2018
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This week, Michelle Jacko talks about the SEC's areas of focus for their 2018 regulatory exams.

Duration:00:04:24

2018 SEC Exam Priorities, Part 1

2/12/2018
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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.

Duration:00:05:06

Answering 3 Common Questions About Crowdfunding and Regulatory Compliance

2/1/2018
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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.

Duration:00:04:56

CCO Buzz Episode 2: Aging Client Considerations

1/18/2018
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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:

Duration:00:03:55