Episode 91: 2021 Year-End Checklist for Investment Advisers

October 14, 2021

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.

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Episode 90: Insights on The Wrap Fee Program Risk Alert

September 17, 2021

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.

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Episode 89: Preparing For a State Exam - Advice From a Former Regulator

July 12, 2021

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.

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Episode 88: The New Marketing Rule – How Your Firm Can Prepare Now

June 14, 2021

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.

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Episode 87: The Importance of Implementing Compliance Technology

May 14, 2021

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.

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Episode 86: The New ERISA Exemption Rule

April 16, 2021

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.

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Episode 85: Establishing an Effective Culture of Compliance

March 15, 2021

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.

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Episode 84: New NASAA Continuing Education Requirements for IARs

February 16, 2021

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.

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