CCO Buzz

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Essential information for your Chief Compliance Officer.

Latest on CCO Buzz

Episode 87: The Importance of Implementing Compliance Technology

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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Latest on CCO Buzz

Episode 86: The New ERISA Exemption Rule

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 86: The New ERISA Exemption Rule

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

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

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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