Episode 92: The Continued Regulatory Focus on Senior Investor Protections
On Episode 92 of the CCO Buzz podcast, we discuss Senior Investor Protections, which is a topic that should be assessed and evaluated annually.
Episode 91: 2021 Year-End Checklist for Investment Advisers
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.
Episode 89: Preparing For a State Exam – Advice From a Former Regulator
On episode 89 of the CCO Buzz podcast, we discuss tips and tricks for preparing for a State Examination.
Episode 88: The New Marketing Rule – How Your Firm Can Prepare Now
On episode 88 of the CCO Buzz, Core Compliance discusses what your firm should be thinking about now to prepare for the New Marketing Rule.
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 83: Jump-Start Your Compliance Program for 2021
For our first CCO Buzz episode of 2021, Senior Compliance Consultant and Compliance Analyst help us unpack the best methods for jump-starting your compliance program in 2021.
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.