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CCO Buzz Podcast

Business & Economics Podcasts

CCLS offers customized regulatory compliance solutions that help empower our clients to achieve success.

CCLS offers customized regulatory compliance solutions that help empower our clients to achieve success.

Location:

United States

Description:

CCLS offers customized regulatory compliance solutions that help empower our clients to achieve success.

Twitter:

@CoreCLS

Language:

English

Contact:

619-552-2609


Episodes

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

7/12/2021
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.

Duration:00:05:33

Ep. 88 - The New Marketing Rule – How Your Firm Can Prepare Now

6/14/2021
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.

Duration:00:06:01

Ep. 87: The Importance Of Implementing Compliance Technology

5/14/2021
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.

Duration:00:05:45

Ep. 86: The New ERISA Exemption

4/16/2021
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.

Duration:00:03:42

Ep. 85: Establishing an Effective Culture of Compliance

3/15/2021
On episode 85 of the CCO Buzz, Senior Compliance Consultant Janice Powell joins us to discuss establishing an effective culture of compliance at your firm.

Duration:00:05:29

Ep. 84: New NASAA Continuing Education Requirements for IARs

2/16/2021
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.

Duration:00:06:02

Ep. 83: Jump-Start Your Compliance Program for 2021

1/19/2021
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.

Duration:00:06:14

Ep. 82: Employee Training Tips for Year-End

12/11/2020
On episode 82 of the CCO Buzz, Senior Compliance Consultant James Smith joins us to discuss the importance of Compliance Training at any firm.

Duration:00:05:24

Ep. 81: Preparing for Year-End

11/6/2020
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.

Duration:00:04:44

Ep. 80: Vital Considerations for Conducting an Annual Review

10/9/2020
On episode 80 of the CCO Buzz, Senior Compliance Consultant Kurt Nuñez joins us to discuss vital considerations for conducting an Annual Review.

Duration:00:05:19

Ep. 79: Are You Prepared for a Cybersecurity Sweep Exam?

9/17/2020
On this month's episode of the CCO Buzz, Adam Stutz is here to discuss what firms should consider when preparing for a Cybersecurity Sweep Exam.

Duration:00:05:54

Ep 78: Compliance Program Requirements for Registered Investment Companies

8/18/2020
On episode 78 of the CCO Buzz, Senior Compliance Consultant James Smith discusses Rule 38a-1 under the Investment Company Act of 1940 and the requirements within compliance programs for Registered Investment Companies.

Duration:00:05:07

Ep. 77: Getting to Know Conor Dale!

7/13/2020
On episode 77 of the CCO Buzz, we're getting to know a member of the Compliance Team, Compliance Analyst, Conor Dale!

Duration:00:03:07

Ep. 76: Making the Most of Your Annual Review Testing Opportunities

6/30/2020
On episode 76 of the CCO Buzz, Sr. Compliance Consultant Kurt Nuñez discusses how to make the most of your Annual Review through simultaneous testing opportunities.

Duration:00:03:37

Ep. 75: Performing Due Diligence on Service Providers During COVID-19

6/16/2020
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.

Duration:00:04:36

Ep. 74: Supervision Considerations under the COVId–19 Pandemic

6/4/2020
On episode 74 of the CCO Buzz, Core Compliance’s Senior Compliance Consultant James Smith discusses supervision considerations for the current COVID-19 Era and how firms can start planning for the future.

Duration:00:05:39

Ep. 73: Cybersecurity for Working from Home During COVID-19

5/29/2020
On episode 73 of the CCO Buzz, Compliance Consultant Adam Stutz walks us through cybersecurity considerations for working from home during COVID-19.

Duration:00:05:49

Ep. 72: Business Continuity and COVID-19

5/18/2020
On episode 72 of the CCO Buzz, Sr. Compliance Consultant Kurt Nuñez speaks with us about Business Continuity Plans as they relate to COVID-19.

Duration:00:04:38

Ep. 70: Interview with Jessica Thayer of Starkweather & Shepley Insurance Brokerage

4/16/2020
On episode 70 of the CCO Buzz, we interview Jessica Thayer of Starkweather and Shepley Insurance Brokerage to learn more about the specifics of insurance coverage for investment advisers.

Duration:00:07:39

Ep. 71: Considerations for Robo-Advisers

3/19/2020
On episode 71 of the CCO Buzz, Compliance Consultant Adam Stutz joins us to discuss compliance considerations for robo-advisers.

Duration:00:05:53