CCO Buzz Podcast
Business & Economics Podcasts
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
Website:
https://www.corecls.com/
Email:
info@corecls.com
Episodes
Ep. 105: Regulation Best Interest Considerations for Investment Advisers
3/14/2023
On episode 105 of the CCO Buzz podcast, Sr. Compliance Consultant Matthew Rothchild takes a look at the SEC's Risk Alert, Observations from Broker-Dealer Examinations Related to Regulation Best Interest (“RBI”) and discuss its applicability to Investment Advisers.
Duration:00:09:16
Ep. 104: Industry Impacts of Regulation S-ID
2/13/2023
On Episode 104 of the CCO Buzz podcast, Compliance Consultants Suzette Hagan and Christopher Hufty take a look at the impacts of Regulation S-ID on the industry.
Duration:00:10:44
Ep. 103: 2022 SEC Compliance Outreach Program Overview
1/18/2023
On Episode 103 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell provides an overview of the 2022 SEC Compliance Outreach Program Seminar.
Duration:00:06:07
Ep. 102: Compliance Priorities for Private Fund Advisers
12/13/2022
On Episode 102 of the CCO Buzz podcast, Sr. Compliance Consultant Maggie Tavares joins us to talk about recent Risk Alerts focused on Private Fund Advisers.
Duration:00:05:45
Ep. 101: Preparing for Year-End: Investment Adviser Compliance Checklist
11/11/2022
On episode 101 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell, provides a year-end compliance checklist for Investment Advisers.
Duration:00:05:50
Ep. 100: Updates and Insights on Supervisory Procedures - During and After the Pandemic
10/11/2022
On episode 100 of the CCO Buzz, Sr. Compliance Consultant Janice Powell discusses supervisory processes in a pandemic and post-pandemic environment, including newly proposed supervisory regulations.
Duration:00:07:28
Ep. 99: Using Compliance Technology to Manage Books and Records
9/14/2022
On episode 99 of the CCO Buzz, Ji Kim discusses how technology has become an integral part of effectively managing a compliance program and how different solutions can assist in recordkeeping and monitoring.
Duration:00:07:38
Ep. 98: Robo-Advisers: Compliance Considerations and Regulatory Focus
8/11/2022
On episode 98 of the CCO Buzz, we're joined by Sr. Compliance Consultant Maggie Tavares to discuss common compliance failures related to robo-advisers, as well as the heightened regulatory focus on robo-advisory in recent years.
Duration:00:06:06
Ep. 97: Creating a Culture of Compliance by Setting the Tone at the Top
5/26/2022
On episode 97 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell and Sr. Compliance Analyst Chris Hufty join us to discuss establishing a culture of compliance – starting at the top.
Duration:00:06:18
Ep. 96: How The 2022 SEC Exam Priorities will Affect Your Firm
5/9/2022
On Episode 96 of the CCO Buzz podcast, we're joined by Tina Mitchell, Managing Director of Consultation Services, who discusses the 2022 SEC Exam Priorities.
Duration:00:07:34
Ep. 95: How Regulators Are Growing Their Focus on Cybersecurity
3/11/2022
On episode 95 of the CCO Buzz podcast, Compliance Consultant Jeremy Bolf joins us to discuss the the growing focus of regulators on cybersecurity!
Duration:00:06:05
Ep. 94: Developing a Risk Matrix for Your Compliance Program
2/9/2022
On episode 94 of the CCO Buzz Podcast, Sr. Compliance Consultant Janice Powell joins us to discuss developing a usable Risk Matrix as an integral aspect of your compliance program!
Duration:00:05:43
Ep. 93: Advisory Fee Billing
2/4/2022
On episode 93 of the CCO Buzz podcast, we're joined by Sr. Compliance Consultant Maggie Tavares to discuss the importance of adequate and accurate Advisory Fee Billing.
Duration:00:06:50
Ep. 93: Core Compliance & Starkweather & Shepley's CCO of the Year Award
11/15/2021
On episode 93 of the CCO Buzz podcast, Marketing Specialist Aimee Lastrella is joined by Starkweather & Shepley's Jessica Thayer to discuss our CCO of the Year Award.
Duration:00:08:49
Ep. 92: The Continued Regulatory Focus on Senior Investor Protections
11/4/2021
On Episode 92 of the CCO Buzz podcast, Compliance Consultant Jeremy Bolf joins us to discuss Senior Investor Protections, which is a topic that should be assessed and evaluated annually.
Duration:00:08:08
Ep. 91: 2021 Year-End Checklist for Investment Advisers
10/13/2021
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.
Duration:00:05:21
Ep. 90: Insights on The Wrap Fee Program Risk Alert
9/17/2021
On episode 90 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell joins us to offer her insight on the SEC's recent Wrap Fee Program Risk Alert.
Duration:00:04:58
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