PODCAST · business
CCO Buzz Podcast
by Core Compliance and Legal Services
CCLS offers customized regulatory compliance solutions that help empower our clients to achieve success.
Episodes
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Ep. 105: Regulation Best Interest Considerations for Investment Advisers
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.
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Ep. 104: Industry Impacts of Regulation S-ID
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.
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Ep. 103: 2022 SEC Compliance Outreach Program Overview
On Episode 103 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell provides an overview of the 2022 SEC Compliance Outreach Program Seminar.
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Ep. 102: Compliance Priorities for Private Fund Advisers
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.
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Ep. 101: Preparing for Year-End: Investment Adviser Compliance Checklist
On episode 101 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell, provides a year-end compliance checklist for Investment Advisers.
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Ep. 100: Updates and Insights on Supervisory Procedures - During and After the Pandemic
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.
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Ep. 99: Using Compliance Technology to Manage Books and Records
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.
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Ep. 98: Robo-Advisers: Compliance Considerations and Regulatory Focus
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.
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Ep. 97: Creating a Culture of Compliance by Setting the Tone at the Top
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.
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Ep. 96: How The 2022 SEC Exam Priorities will Affect Your Firm
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.
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Ep. 95: How Regulators Are Growing Their Focus on Cybersecurity
On episode 95 of the CCO Buzz podcast, Compliance Consultant Jeremy Bolf joins us to discuss the the growing focus of regulators on cybersecurity!
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Ep. 94: Developing a Risk Matrix for Your Compliance Program
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!
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Ep. 93: Advisory Fee Billing
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.
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Ep. 92: The Continued Regulatory Focus on Senior Investor Protections
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.
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Ep. 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.
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Ep. 90: Insights on The Wrap Fee Program Risk Alert
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.
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Ep. 89: Preparing For a State Exam - Advice From a Former Regulator
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.
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Ep. 88 - The New Marketing Rule – How Your Firm Can Prepare Now
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.
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Ep. 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.
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Ep. 86: The New ERISA Exemption
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.
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Ep. 85: Establishing an Effective Culture of Compliance
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.
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Ep. 84: New NASAA Continuing Education Requirements for IARs
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.
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Ep. 83: Jump-Start Your Compliance Program for 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.
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Ep. 82: Employee Training Tips for Year-End
On episode 82 of the CCO Buzz, Senior Compliance Consultant James Smith joins us to discuss the importance of Compliance Training at any firm.
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ABOUT THIS SHOW
CCLS offers customized regulatory compliance solutions that help empower our clients to achieve success.
HOSTED BY
Core Compliance and Legal Services
CATEGORIES
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Frequently Asked Questions
How many episodes does CCO Buzz Podcast have?
CCO Buzz Podcast currently has 102 episodes available on PodParley. New episodes are automatically indexed when they're published to the podcast feed.
What is CCO Buzz Podcast about?
CCLS offers customized regulatory compliance solutions that help empower our clients to achieve success.
How often does CCO Buzz Podcast release new episodes?
CCO Buzz Podcast publishes regularly with 102 episodes available. Check the episode list for the typical release schedule.
Where can I listen to CCO Buzz Podcast?
You can listen to CCO Buzz Podcast on PodParley by clicking any episode. We provide an embedded audio player for direct listening, and you can also subscribe via your preferred podcast app using the RSS feed.
Who hosts CCO Buzz Podcast?
CCO Buzz Podcast is created and hosted by Core Compliance and Legal Services.
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