CCO Buzz

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

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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Latest on CCO Buzz

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

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

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

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

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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