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.
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.
Episode 84: New NASAA Continuing Education Requirements for IARs
On episode 84 of the CCO Buzz podcast, we discuss the new NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives.
Episode 82: Employee Training Tips for Year-End
On episode 82 of the CCO Buzz, our Senior Compliance Consultant joins us to discuss the importance of Compliance Training at any firm.
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.
Episode 80: Vital Considerations for Conducting an Annual Review
On episode 80 of the CCO Buzz, Core Compliance discuss vital considerations for conducting an Annual Review.
Episode 79: Are You Prepared for a Cybersecurity Sweep Exam?
On episode 79 of the CCO Buzz we discuss what firms should consider when preparing for a Cybersecurity Sweep Exam.
Episode 78: Compliance Program Requirements for Registered Investment Companies
On episode 78 of the CCO Buzz, our Senior Compliance Consultant discusses Rule 38a-1 under the Investment Company Act of 1940 and the requirements within compliance programs for Registered Investment Companies. (GUITAR INTRO) CCO Buzz: Hello and welcome back to … Read More
Episode 76: Making the Most of Your Annual Review Testing Opportunities
On episode 76 of the CCO Buzz, Core Compliance discusses how to make the most of your Annual Review through simultaneous testing opportunities.
Episode 75: Performing Due Diligence on Service Providers during COVID-19
On Episode 75 of the CCO Buzz, Tina Mitchell, Managing Director of Consultation Services, shares with us her tips for Performing Due Diligence on Service Providers during COVID-19.