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CCO Companion http://ccocompanion.com Manage Compliance Anywhere Tue, 16 May 2017 19:17:22 +0000 en-US hourly 1 https://wordpress.org/?v=4.3.18 http://ccocompanion.com/wp-content/uploads/2015/10/cropped-iTunesArtwork-32x32.png CCO Companion http://ccocompanion.com 32 32 7 Things Advisers Must Do To Avoid Custody http://ccocompanion.com/2017/05/16/7-things-advisers-must-do-to-avoid-custody/ http://ccocompanion.com/2017/05/16/7-things-advisers-must-do-to-avoid-custody/#comments Tue, 16 May 2017 19:17:22 +0000 http://ccocompanion.com/?p=4304 ...]]> http://ccocompanion.com/2017/05/16/7-things-advisers-must-do-to-avoid-custody/feed/ 0 3 Keys to Reducing Potential SEC Penalties http://ccocompanion.com/2017/05/10/3-keys-to-reducing-potential-sec-penalties/ http://ccocompanion.com/2017/05/10/3-keys-to-reducing-potential-sec-penalties/#comments Wed, 10 May 2017 15:38:33 +0000 http://ccocompanion.com/?p=4302 ...]]> http://ccocompanion.com/2017/05/10/3-keys-to-reducing-potential-sec-penalties/feed/ 0 SEC Cybersecurity Exam Requests http://ccocompanion.com/2017/03/27/sec-cybersecurity-exam-requests/ http://ccocompanion.com/2017/03/27/sec-cybersecurity-exam-requests/#comments Mon, 27 Mar 2017 20:39:29 +0000 http://ccocompanion.com/?p=4299 ...]]> http://ccocompanion.com/2017/03/27/sec-cybersecurity-exam-requests/feed/ 0 SEC Issues Guidance Re: Inadvertent Custody http://ccocompanion.com/2017/03/01/sec-issues-guidance-re-inadvertent-custody/ http://ccocompanion.com/2017/03/01/sec-issues-guidance-re-inadvertent-custody/#comments Wed, 01 Mar 2017 18:22:06 +0000 http://ccocompanion.com/?p=4296 ...]]> http://ccocompanion.com/2017/03/01/sec-issues-guidance-re-inadvertent-custody/feed/ 0 3 Most Typical Books & Records Rule Deficiencies http://ccocompanion.com/2017/02/17/3-most-typical-books-records-rule-deficiencies/ http://ccocompanion.com/2017/02/17/3-most-typical-books-records-rule-deficiencies/#comments Fri, 17 Feb 2017 18:01:47 +0000 http://ccocompanion.com/?p=4293 ...]]> http://ccocompanion.com/2017/02/17/3-most-typical-books-records-rule-deficiencies/feed/ 0 The 4 Most Typical Code of Ethics Violations http://ccocompanion.com/2017/02/16/the-4-most-typical-code-of-ethics-violations/ http://ccocompanion.com/2017/02/16/the-4-most-typical-code-of-ethics-violations/#comments Thu, 16 Feb 2017 21:56:14 +0000 http://ccocompanion.com/?p=4291 ...]]> http://ccocompanion.com/2017/02/16/the-4-most-typical-code-of-ethics-violations/feed/ 0 Top 3 Custody Rule Deficiencies http://ccocompanion.com/2017/02/15/top-3-custody-rule-deficiencies/ http://ccocompanion.com/2017/02/15/top-3-custody-rule-deficiencies/#comments Wed, 15 Feb 2017 14:35:35 +0000 http://ccocompanion.com/?p=4289 ...]]> http://ccocompanion.com/2017/02/15/top-3-custody-rule-deficiencies/feed/ 0 Top 4 Regulatory Filing Deficiencies http://ccocompanion.com/2017/02/14/top-4-regulatory-filing-deficiencies/ http://ccocompanion.com/2017/02/14/top-4-regulatory-filing-deficiencies/#comments Tue, 14 Feb 2017 19:44:46 +0000 http://ccocompanion.com/?p=4285 ...]]> http://ccocompanion.com/2017/02/14/top-4-regulatory-filing-deficiencies/feed/ 0 Top 4 Compliance Program Deficiencies http://ccocompanion.com/2017/02/13/top-4-compliance-program-deficiencies/ http://ccocompanion.com/2017/02/13/top-4-compliance-program-deficiencies/#comments Mon, 13 Feb 2017 21:40:16 +0000 http://ccocompanion.com/?p=4283 ...]]> http://ccocompanion.com/2017/02/13/top-4-compliance-program-deficiencies/feed/ 0 5 Most Frequent Compliance Topics Identified in Investment Adviser Exams http://ccocompanion.com/2017/02/12/5-most-frequent-compliance-topics-identified-in-investment-adviser-exams/ http://ccocompanion.com/2017/02/12/5-most-frequent-compliance-topics-identified-in-investment-adviser-exams/#comments Sun, 12 Feb 2017 14:42:14 +0000 http://ccocompanion.com/?p=4281 ...]]> http://ccocompanion.com/2017/02/12/5-most-frequent-compliance-topics-identified-in-investment-adviser-exams/feed/ 0 SEC 2017 Examination Priorities http://ccocompanion.com/2017/02/12/sec-2017-examination-priorities/ http://ccocompanion.com/2017/02/12/sec-2017-examination-priorities/#comments Sun, 12 Feb 2017 14:27:44 +0000 http://ccocompanion.com/?p=4276 ...]]> http://ccocompanion.com/2017/02/12/sec-2017-examination-priorities/feed/ 0 FAQs: Best Execution http://ccocompanion.com/2017/02/11/faqs-best-execution/ http://ccocompanion.com/2017/02/11/faqs-best-execution/#comments Sat, 11 Feb 2017 18:36:06 +0000 http://ccocompanion.com/?p=4273 ...]]> http://ccocompanion.com/2017/02/11/faqs-best-execution/feed/ 0 Release 1.3 in App Store today! http://ccocompanion.com/2016/11/14/release-1-3-in-app-store-today/ http://ccocompanion.com/2016/11/14/release-1-3-in-app-store-today/#comments Mon, 14 Nov 2016 17:52:42 +0000 http://ccocompanion.com/?p=4267 ...]]> http://ccocompanion.com/2016/11/14/release-1-3-in-app-store-today/feed/ 0 Adviser Fined $25,000 for Failure to Conduct Annual Review http://ccocompanion.com/2016/10/24/adviser-fined-25000-for-failure-to-conduct-annual-review/ http://ccocompanion.com/2016/10/24/adviser-fined-25000-for-failure-to-conduct-annual-review/#comments Mon, 24 Oct 2016 12:49:03 +0000 http://ccocompanion.com/?p=4258 ...]]> http://ccocompanion.com/2016/10/24/adviser-fined-25000-for-failure-to-conduct-annual-review/feed/ 0 FAQs: Suitability http://ccocompanion.com/2016/10/21/faqs-suitability/ http://ccocompanion.com/2016/10/21/faqs-suitability/#comments Fri, 21 Oct 2016 15:48:29 +0000 http://ccocompanion.com/?p=4255 ...]]> http://ccocompanion.com/2016/10/21/faqs-suitability/feed/ 0 Entrepreneur Magazine Gives CCO Companion Thumbs Up! http://ccocompanion.com/2016/04/22/entrepreneur-magazine-gives-cco-companion-thumbs-up/ http://ccocompanion.com/2016/04/22/entrepreneur-magazine-gives-cco-companion-thumbs-up/#comments Fri, 22 Apr 2016 14:32:41 +0000 http://ccocompanion.com/?p=4246 ...]]> http://ccocompanion.com/2016/04/22/entrepreneur-magazine-gives-cco-companion-thumbs-up/feed/ 0 FAQs: Insider Trading http://ccocompanion.com/2016/04/21/faqs-insider-trading/ http://ccocompanion.com/2016/04/21/faqs-insider-trading/#comments Thu, 21 Apr 2016 11:54:46 +0000 http://ccocompanion.com/?p=4241 ...]]> http://ccocompanion.com/2016/04/21/faqs-insider-trading/feed/ 0 8 Types of SEC Enforcement Actions http://ccocompanion.com/2016/04/14/8-types-of-sec-enforcement-actions/ http://ccocompanion.com/2016/04/14/8-types-of-sec-enforcement-actions/#comments Thu, 14 Apr 2016 16:57:00 +0000 http://ccocompanion.com/?p=4238 ...]]> http://ccocompanion.com/2016/04/14/8-types-of-sec-enforcement-actions/feed/ 0 FAQs: Solicitors http://ccocompanion.com/2016/04/13/faqs-solicitors/ http://ccocompanion.com/2016/04/13/faqs-solicitors/#comments Wed, 13 Apr 2016 09:22:00 +0000 http://ccocompanion.com/?p=4232 ...]]> http://ccocompanion.com/2016/04/13/faqs-solicitors/feed/ 0 CCO Companion Release 1.2 in App Store Today! http://ccocompanion.com/2016/04/11/cco-companion-release-1-2-in-app-store-today/ http://ccocompanion.com/2016/04/11/cco-companion-release-1-2-in-app-store-today/#comments Mon, 11 Apr 2016 15:19:58 +0000 http://ccocompanion.com/?p=4230 ...]]> http://ccocompanion.com/2016/04/11/cco-companion-release-1-2-in-app-store-today/feed/ 0 The 6 Attributes of a Competent CCO http://ccocompanion.com/2016/04/10/the-6-attributes-of-a-competent-cco/ http://ccocompanion.com/2016/04/10/the-6-attributes-of-a-competent-cco/#comments Sun, 10 Apr 2016 13:11:07 +0000 http://ccocompanion.com/?p=4226 ...]]> http://ccocompanion.com/2016/04/10/the-6-attributes-of-a-competent-cco/feed/ 0 5 Ways Advisers Fail to Realize they Have Custody http://ccocompanion.com/2016/04/09/5-ways-advisers-fail-to-realize-they-have-custody/ http://ccocompanion.com/2016/04/09/5-ways-advisers-fail-to-realize-they-have-custody/#comments Sat, 09 Apr 2016 11:49:32 +0000 http://ccocompanion.com/?p=4224 ...]]> http://ccocompanion.com/2016/04/09/5-ways-advisers-fail-to-realize-they-have-custody/feed/ 0 3 Sure Ways to Get Slammed During an SEC Audit http://ccocompanion.com/2016/04/08/3-sure-ways-to-get-slammed-during-an-sec-audit/ http://ccocompanion.com/2016/04/08/3-sure-ways-to-get-slammed-during-an-sec-audit/#comments Fri, 08 Apr 2016 20:07:39 +0000 http://ccocompanion.com/?p=4217 ...]]> http://ccocompanion.com/2016/04/08/3-sure-ways-to-get-slammed-during-an-sec-audit/feed/ 0 New DOL Fiduciary Rule http://ccocompanion.com/2016/04/08/new-dol-fiduciary-rule/ http://ccocompanion.com/2016/04/08/new-dol-fiduciary-rule/#comments Fri, 08 Apr 2016 14:20:11 +0000 http://ccocompanion.com/?p=4213 ...]]> http://ccocompanion.com/2016/04/08/new-dol-fiduciary-rule/feed/ 0 Performance Advertising – 6 Common Mistakes http://ccocompanion.com/2016/04/05/performance-advertising-6-common-mistakes/ http://ccocompanion.com/2016/04/05/performance-advertising-6-common-mistakes/#comments Tue, 05 Apr 2016 19:54:19 +0000 http://ccocompanion.com/?p=4209 ...]]> http://ccocompanion.com/2016/04/05/performance-advertising-6-common-mistakes/feed/ 0 How is CCO Companion so Effective? http://ccocompanion.com/2016/04/01/how-is-cco-companion-so-effective/ http://ccocompanion.com/2016/04/01/how-is-cco-companion-so-effective/#comments Fri, 01 Apr 2016 11:00:01 +0000 http://ccocompanion.com/?p=4203 http://ccocompanion.com/2016/04/01/how-is-cco-companion-so-effective/feed/ 0 Users Guide – Exam Prep http://ccocompanion.com/2016/03/30/users-guide-exam-prep/ http://ccocompanion.com/2016/03/30/users-guide-exam-prep/#comments Wed, 30 Mar 2016 16:47:27 +0000 http://ccocompanion.com/?p=4173 ...]]> http://ccocompanion.com/2016/03/30/users-guide-exam-prep/feed/ 0 FAQs: Performance Advertising http://ccocompanion.com/2016/03/30/faqs-performance-advertising/ http://ccocompanion.com/2016/03/30/faqs-performance-advertising/#comments Wed, 30 Mar 2016 10:42:19 +0000 http://ccocompanion.com/?p=4194 ...]]> http://ccocompanion.com/2016/03/30/faqs-performance-advertising/feed/ 0 User’s Guide – Annual Review http://ccocompanion.com/2016/03/28/users-guide-annual-review/ http://ccocompanion.com/2016/03/28/users-guide-annual-review/#comments Mon, 28 Mar 2016 10:06:36 +0000 http://ccocompanion.com/?p=4122 ...]]> http://ccocompanion.com/2016/03/28/users-guide-annual-review/feed/ 0 10 Most Common Deficiencies Found by SEC Examiners http://ccocompanion.com/2016/03/25/10-most-common-deficiencies-found-by-sec-examiners/ http://ccocompanion.com/2016/03/25/10-most-common-deficiencies-found-by-sec-examiners/#comments Fri, 25 Mar 2016 11:39:51 +0000 http://ccocompanion.com/?p=4150 ...]]> http://ccocompanion.com/2016/03/25/10-most-common-deficiencies-found-by-sec-examiners/feed/ 0 The Reviews Are In and CCO Companion is a Smash Hit! http://ccocompanion.com/2016/03/24/the-reviews-are-in-and-cco-companion-is-a-smash-hit/ http://ccocompanion.com/2016/03/24/the-reviews-are-in-and-cco-companion-is-a-smash-hit/#comments Thu, 24 Mar 2016 10:04:10 +0000 http://ccocompanion.com/?p=4112 ...]]> http://ccocompanion.com/2016/03/24/the-reviews-are-in-and-cco-companion-is-a-smash-hit/feed/ 0 FAQs: Pay-To-Play http://ccocompanion.com/2016/03/23/faqs-pay-to-play/ http://ccocompanion.com/2016/03/23/faqs-pay-to-play/#comments Wed, 23 Mar 2016 18:52:54 +0000 http://ccocompanion.com/?p=4109 ...]]> http://ccocompanion.com/2016/03/23/faqs-pay-to-play/feed/ 0 3 . . 2 . . 1 . . Blast Off!!! http://ccocompanion.com/2016/03/21/3-2-1-blast-off/ http://ccocompanion.com/2016/03/21/3-2-1-blast-off/#comments Mon, 21 Mar 2016 15:44:14 +0000 http://ccocompanion.com/?p=3748 ...]]> http://ccocompanion.com/2016/03/21/3-2-1-blast-off/feed/ 0 FAQs: Directed Brokerage http://ccocompanion.com/2016/03/16/faqs-directed-brokerage/ http://ccocompanion.com/2016/03/16/faqs-directed-brokerage/#comments Wed, 16 Mar 2016 11:25:12 +0000 http://ccocompanion.com/?p=4077 ...]]> http://ccocompanion.com/2016/03/16/faqs-directed-brokerage/feed/ 0 Using Enforcement to Teach Compliance http://ccocompanion.com/2016/03/11/using-enforcement-to-teach-compliance/ http://ccocompanion.com/2016/03/11/using-enforcement-to-teach-compliance/#comments Fri, 11 Mar 2016 11:06:12 +0000 http://ccocompanion.com/?p=4067 ...]]> http://ccocompanion.com/2016/03/11/using-enforcement-to-teach-compliance/feed/ 0 FAQs: Advertising http://ccocompanion.com/2016/03/09/faqs-advertising/ http://ccocompanion.com/2016/03/09/faqs-advertising/#comments Wed, 09 Mar 2016 12:19:41 +0000 http://ccocompanion.com/?p=4063 ...]]> http://ccocompanion.com/2016/03/09/faqs-advertising/feed/ 0 March Madness http://ccocompanion.com/2016/03/07/march-madness/ http://ccocompanion.com/2016/03/07/march-madness/#comments Mon, 07 Mar 2016 13:44:30 +0000 http://ccocompanion.com/?p=3980 ...]]> http://ccocompanion.com/2016/03/07/march-madness/feed/ 0 CCO Fined $1 Million http://ccocompanion.com/2016/03/04/cco-fined-1-million/ http://ccocompanion.com/2016/03/04/cco-fined-1-million/#comments Fri, 04 Mar 2016 15:54:09 +0000 http://ccocompanion.com/?p=4052 ...]]> http://ccocompanion.com/2016/03/04/cco-fined-1-million/feed/ 0 FAQs: Trade Aggregation and Allocation http://ccocompanion.com/2016/03/02/faqs-trade-aggregation-and-allocation/ http://ccocompanion.com/2016/03/02/faqs-trade-aggregation-and-allocation/#comments Wed, 02 Mar 2016 11:11:31 +0000 http://ccocompanion.com/?p=4049 ...]]> http://ccocompanion.com/2016/03/02/faqs-trade-aggregation-and-allocation/feed/ 0 Top SEC Exam Deficiencies http://ccocompanion.com/2016/02/29/top-sec-exam-deficiencies/ http://ccocompanion.com/2016/02/29/top-sec-exam-deficiencies/#comments Mon, 29 Feb 2016 15:36:12 +0000 http://ccocompanion.com/?p=4041 ...]]> http://ccocompanion.com/2016/02/29/top-sec-exam-deficiencies/feed/ 0