CCO Buzz

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Latest on CCO Buzz

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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Latest on CCO Buzz

Episode 83: Jump-Start Your Compliance Program for 2021

For our first CCO Buzz episode of 2021, Senior Compliance Consultant Kurt Nuñez and Compliance Analyst Zachary Frank help us unpack the best methods for jump-starting your compliance program in 2021.

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Episode 83: Jump-Start Your Compliance Program for 2021

For our first CCO Buzz episode of 2021, Senior Compliance Consultant Kurt Nuñez and Compliance Analyst Zachary Frank help us unpack the best methods for jump-starting your compliance program in 2021.

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Episode 82: Employee Training Tips for Year-End

On episode 82 of the CCO Buzz, Senior Compliance Consultant James Smith joins us to discuss the importance of Compliance Training at any firm.

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Episode 81: Preparing for Year-End

On this month's episode of the CCO Buzz, Core Compliance’s Managing Director of Consultation Services, Tina Mitchell, discusses Year-End Prep for Investment Advisers.

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