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.
On episode 89 of the CCO Buzz podcast, we discuss tips and tricks for preparing for a State Examination.
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.
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.
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.
On episode 84 of the CCO Buzz podcast, we discuss the new NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives.
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.
On episode 82 of the CCO Buzz, our Senior Compliance Consultant joins us to discuss the importance of Compliance Training at any firm.
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.
On episode 80 of the CCO Buzz, Core Compliance discuss vital considerations for conducting an Annual Review.