The Securities Compliance Podcast: Compliance In Context

Welcome back to the Compliance in Context Podcast! On today’s show, we welcome in David Scalzetti, Senior Director of Regulatory Products and Strategy at ICE, as part one of a two-part program looking at the impact of data on compliance. In the first part of our interview, David will look at how data can support your firm’s compliance program in any number of areas including portfolio management,...

Welcome back to the Compliance in Context Podcast! On today’s show, we welcome in Brian Rubin to discuss the current state of CCO liability and revisit the NSCP Firm and CCO Liability Framework and review its impact on the investment management industry nearly two years after its original publication. In our Headlines section, we look at recent data collected on the growth of the accredited invest...

Welcome back to the Compliance in Context Podcast! On today’s show, we feature a Lessons From The Front Lines episode we welcome back to the show a very special guest, namely SEC Division of Examinations Senior Counsel Christopher Mulligan to review how the Division of Exams is approaching the SEC Marketing Rule one year after the compliance date, best practices the SEC has seen firms implement, a...

Welcome back to the Compliance in Context Podcast! on today’s show, we do a deep dive on the recent rule proposal from the SEC on predictive data analytics technologies and some of the significant compliance challenges associated with that rule proposal and the push back we’ve seen from the industry. In our Headlines section, and in record-breaking time this year, we’ll review the 2024 SEC Examina...

Description Welcome back to the Compliance in Context Podcast! On today’s show, we feature a Lessons From The Front Lines episode on the recently passed SEC Private Fund Adviser Rules with an esteemed panel of experts featuring three former regulators who served at the very highest levels of the SEC—Kristin Snyder, Dan Kahl, and Pete Driscoll. It’s no secret the SEC has been laser-focused on the p...

Welcome back to the Compliance in Context Podcast! on today’s show, we take a look at one of the most-talked about subjects over the last twelve months, namely artificial intelligence, and expert Marc Gilman will help us further examine the benefits and impact of AI on your firm’s compliance program. In our Headlines section, we’ll review the recent final rule from the SEC detailing new requiremen...

Welcome back to the Compliance in Context Podcast! On today’s show, we dive back into the Cryptocurrency conversation with one of our favorite FinTech experts, Chuck Senatore, to discuss the current state of cryptocurrency in the financial markets and how certain timeless principles could be helpful for the future of this asset class. In our Headlines section, we review a recent rule proposal from...

Welcome back to the Compliance in Context Podcast! On today’s show, we take a comprehensive look at the ever-important topic of valuation, why it’s such a key topic for firms and regulators, and the role that compliance can play in the process. In our Headlines section, we review a recent risk alert from the Division of Exams on the New Marketing Rule. And finally, we’ll wrap up today’s show with...

Welcome back to the Compliance in Context Podcast! On today’s show, we do a double-feature Lessons From The Front Lines episode on the SEC Cybersecurity Rule Proposal (Rule 206(4)-9) with an esteemed panel of experts from ACA Aponix and Fairview Cyber, including Carlo di Florio, Christine Tetherly-Lewis, Mike Pappacena, and Amber Allen. Given the increased focus from the SEC and the fact that many...

Welcome back to the Compliance in Context Podcast! On today’s show, we do a deep dive on the 2023 Report on FINRA’s Examination and Risk Monitoring Program and the role of the Membership Application Program as part of FINRA’s larger governance structure. In our Headlines section, we review recent testimony from Chair Gensler before the House Financial Services Committee and a new Risk Alert from t...

Welcome back to the Compliance in Context Podcast! On today’s show, we take an in-depth look at the SEC’s new Custody rule proposal and the impact of these new requirements on investment advisers, broker-dealers, and custodians. In our Headlines section, we examine the new Cybersecurity rule proposal (also known as Rule 10) and the new proposed amendments to Reg S-P. And finally, we’ll wrap up tod...

Welcome back to the Compliance in Context Podcast! On today’s show, we do a deep dive into the wellspring of legal and compliance issues surrounding the topic of ESG, including an analysis of all the recent rulemaking in this space and what the practical application of these rules could mean for firms and their respective compliance programs. In our Headlines section, we examine the SEC examinatio...

Welcome back to the Compliance in Context Podcast! Today’s show is a historic one as we officially launch Season 4!!  To help us celebrate such a momentous occasion, we welcome in Ranah Esmaili to do a deep dive on recent trends in the SEC examination space and kickoff the next iteration of our Lessons From The Front Lines series.  An SEC alum herself, Ranah shares some invaluable insights in many...

Welcome back to the Compliance In Context podcast! Today’s show features two very special guests in the investment management space, Karen Barr from the Investment Adviser Association and Lisa Crossley from the National Society of Compliance Professionals, to talk to us about what’s happening in the investment adviser space, discuss the rich history of both organizations and more recent DE&I e...

Welcome back to Compliance In Context podcast! On today’s show, Given the speed and complexity of rulemaking this year from the SEC, we thought we’d give you a break from the technical, and focus on a few tips on how to handle the physical and mental parts of being a compliance officer.  To help guide us through this conversation, we welcome in Debbie Hennelly, founder of Resiliti and an expert on...

Welcome back to Compliance In Context podcast! On today’s show, we do a deep dive on the new SEC Cybersecurity Risk Management rule proposal for Investment Advisers—what it says and what you can do now to help prepare your firm for the potential updates that may be necessary comply with the new rule. In our Headlines section, we look at two recent interviews from Chair Gensler stating that most cr...

Welcome to Episode 6 of the Marketing Rule Master Class mini-series.  In our final episode we are building upon the lessons learned in the prior five episodes with a focus on key compliance considerations for implementing the Marketing Rule.  Moderator Carlo di Florio, ACA, along with panelists Craig Watanabe, DFPG Investments, Chas Spiros, ACA, and Julia Reyes, ACA, discuss implementation timelin...

Welcome to Episode 5 of the Marketing Rule Master Class mini-series.  Episode 5 focuses on testimonials, endorsements, and third-party ratings. Moderator, Patrick Hayes, Calfee and panelists Jaqueline Hummel, ACA, Anthony Dillingham, ACA, and Matt Shepherd, ACA, delve into the nuances and traps for the weary when utilizing testimonials, endorsements and third-party ratings.  While the new rule is...

Welcome to Episode 4 of the Marketing Rule Master Class mini-series focused on performance.  In our fourth episode of the master class, moderated by Carlo di Florio, ACA Group, you will hear from Karyn Vincent, CFA Institute, Janice Kitzman, Cascade Compliance, Julia Reyes, ACA Group, and Shivani Choudhary, ACA Group, as they discuss the various Marketing Rule performance requirements including ho...

In the third episode of our new master class series on the SEC Marketing Rule! You’ll hear from host, Patrick Hayes, Calfee along with our industry panelists Genna Garver, Partner, Troutman Pepper, Bree Ward Associate, Akerman LLP, Matt Shepherd, Director, ACA Group. Together, we’ll discuss the general impact of the new Marketing rule to Private Funds. We’ll dive into the requirement to present ne...

Welcome back! In the second episode of our new master class series on the SEC Marketing Rule! You’ll hear from host, Carlo di Florio of ACA Group along with our industry panelists Issa Hanna, Partner, Eversheds Sutherland, Amber Allen, VP and General Counsel, Fairview Investment Services, and Chas Spiros, Principal Consultant, ACA Group. Together, we’ll provide additional insights on the new rule,...

Welcome back to Compliance In Context podcast! We are incredibly pleased to announce the release of our new master class series on the new SEC Marketing Rule! In our first episode of the master class, you’ll hear from our co-hosts, Patrick Hayes, Calfee and Carlo di Florio, ACA Group along with our industry panelists from the SEC, Steven Levine and Chris Mulligan, as we provide background on the n...

Welcome back to Compliance In Context podcast! On today’s show, we’re going to be focusing our attention on gamification —what is it, why are regulators and investors concerned about it, what are the benefits of it, and most importantly, what are the key things you should be considering from a compliance perspective?  In our Headlines section, we look at Chair Gensler’s Spring 2022 Agency Rule lis...

Welcome back to Compliance In Context podcast! Today’s show is the first of its kind as we look to add a little colorful storytelling into our typical compliance discussion.  In this episode of the podcast, we welcome in Miriam Lefkowitz and John Walsh to review legends and myths from cultures around the world that teach us a lesson about life (and compliance) and help shine a light on some of the...

Welcome back to the Compliance in Context Podcast! This episode of the Compliance In Context Podcast marks another iteration of our Lessons From The Front Lines series where we welcome in digital asset and FinTech and RegTech expert Chuck Senatore to explore the origins of cryptocurrencies and digital assets, their impact on the financial markets, and how the regulatory landscape is evolving to ad...