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.
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.
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.