The Securities Compliance Podcast: Compliance In Context

Welcome back to the Compliance in Context Podcast! On this episode of the Compliance In Context Podcast, we explore the hidden nuances and key differences in the new 2022 Report on FINRA’s Examination and Risk Monitoring Program with Susan Schroeder—former head of enforcement at FINRA and current partner at Wilmer Hale—who sits down with us to review the report and its impact on compliance profess...

Welcome back to the Compliance in Context Podcast!  In this episode, we discuss the recent private fund rule proposals and explore how their adoption would affect the industry.  For an in depth review of the proposals, we are joined by Jeff Blumberg—Partner at Faegre Drinker and Chair Elect of the NSCP.  Our conversation spans Form PF, rule amendments for private funds under the Advisors Act, and...

Welcome back to the Compliance In Context Podcast! Today’s episode features the fifth in a series of shows we refer to as the Lessons From The Front Lines series. These shows focus on real-life, tough-to-tackle subjects that other industry professionals and regulators have faced on the front lines of our industry. Today we have the pleasure of speaking with Enforcement and Investigations Chief Ric...

Welcome back to the Compliance In Context Podcast! This episode, we welcome in Carlo di Florio, Chief Services Officer at ACA Group and Brian Rubin, a partner and leader of the Eversheds Sutherland securities enforcement practice to discuss the issue of CCO liability and the newly proposed NSCP Firm and CCO Liability Framework. In our Headlines section, we look the recent attention and rulemaking...

Welcome back to the Compliance In Context Podcast! On today’s show, we welcome the return of former NSCP Board Chair and all-around compliance expert, Craig Watanabe, to analyze some recent comments from SEC Chair Gensler around cybersecurity, and reveal some practical tips firms can use to enhance the cybersecurity measures inside their own firms. In our Headlines section, we look at the new NSCP...

Welcome back to the Compliance In Context Podcast! On today’s show, we welcome the Marcia Wagner, founder of The Wagner Law Group and an expert in all things ERISA to discuss the impact of the new DOL Fiduciary Rule on the investment management industry and the upcoming compliance and enforcement deadlines. In our Headlines section, we look at recently proposed amendments from the SEC to its elect...

Welcome back to the Compliance In Context Podcast! Today’s podcast features the fourth in our Lessons From The Front Lines series which focus on real-life, tough-to-tackle subjects that other industry professionals and regulators have faced on the front lines of our industry. To help guide us through today’s conversation, we welcome in Neil Maitra and Haime Workie.  Whether it’s issues in AI, the...

Welcome back to the Compliance In Context Podcast! On today’s episode, we welcome in the President of the North American Securities Administrators Association, Melanie Lubin, for an insider’s look into what’s happening at NASAA including new areas of focus like continuing education, Reg BI, senior investors, and much more.  In our Headlines section, the first-ever bitcoin-linked exchange-traded fu...

Welcome back to the Compliance In Context Podcast! On today’s episode, we welcome in Jennifer Selliers, Director of Internal Compliance for the State of Tennessee Department of Treasury and current NSCP board member, for an authentic look at how to find your own career path in compliance (and everywhere).  In our Headlines section, the SEC seeks comment on Broker-Dealer and Investment Adviser Digi...

Welcome back to the Compliance In Context Podcast! On today’s episode, we we welcome in Melissa Loner, the Executive Vice President of Advisor Services at Premiere Wealth Management and current NSCP board member.  With a background in compliance but with a focus now on running the business, Melissa is the perfect person to share with us all the best practices when it comes to fees, expenses, and f...

Welcome back to the Compliance In Context Podcast! On today’s episode, we have the distinct pleasure of chatting with Jim Downing, the current Chair-Elect of the NSCP Board of Directors and current Chief Compliance Officer for Morningstar, who shares with us his Five Fundamentals of Compliance, and provides some fantastic insight into how best to run a compliance program that has multiple business...

Welcome back to The Securities Compliance Podcast! We have a fantastic episode ahead that shines a light on a very difficult topic—ESG. To do this, we continue the third installment of our Lessons From the Front Lines series. Much like our regular shows, this series will provide same excellent content to help you put Compliance In Context, but will deliver that content in a more narrative form—lik...

Welcome back to the Compliance In Context Podcast! On today’s show, we have the distinct pleasure of chatting with Patty Cushing, Director of Compliance at the NFA, for an insider’s look at the examination process with the NFA, new areas of focus for the SRO, ideas around remote supervision, and much more. In our Headlines section, we do a deep dive into the recent buzz and regulatory activity sur...

Welcome back to the Securities Compliance podcast. On today’s show, we do a deep dive on the 2021 Investment Adviser Section Report from the North American Securities Administrators Association highlighting 2020 activities for NASAA and its broader application to the compliance profession.  For our interview segment, we welcome in Lilian Morvay to provide our listeners with valuable insights on th...

Welcome back to The Securities Compliance Podcast! Today’s show is going to be a great one.  In the Headlines section, we’ll review recent recommendations from multiple SEC Commissioners on how to improve access to private capital.  For our interview segment, we have the distinct pleasure of speaking with Mark Kim, CEO of the Municipal Securities Rulemaking Board about the exciting developments ha...

Welcome back to The Securities Compliance Podcast!  As we kick off Season 2, we begin by reviewing a recent report from the Congressional Research Service looking at the SEC’s current guidance on ESG and help break down an incredibly challenging couple months in this area.  For our feature interview, we welcome in New York City Attorney and compliance expert, Richard Chen. Together we discuss the...

Welcome back to The Securities Compliance Podcast!  In today’s bonus episode, we preview some of our fantastic Season 2 guests and look back at some of the amazing moments from Season 1. The even better news?  The first full episode of Season 2 drops later this week.  Let’s light this candle!   Resources: Compliance in Context

Welcome back to The Securities Compliance Podcast! In the final episode of Season 1, we begin by discussing recent remarks from SEC Commissioner Peirce regarding the Game Stop situation and how it might impact the industry moving forward, as well as a warning from securities regulators to help raise awareness about the threats of social isolation and investment fraud. For our feature interview, we...

Welcome back to The Securities Compliance Podcast! On today’s show, we continue our Lessons From the Front Lines series. Much like our regular shows, this series will provide same excellent content to help you put Compliance In Context™, but will deliver that content in a more narrative form—like a fireside conversation with an industry pro. In this way, the Lessons From the Front Lines series wil...

Welcome back to The Securities Compliance Podcast! On today’s show, we officially launch the Lessons From the Front Lines series. Much like our regular shows, this series will provide the same excellent content to help you put Compliance In Context™, but will deliver that content in a more narrative form—like a fireside conversation with an industry pro. In this way, the Lessons From the Front Lin...

Welcome back to The Securities Compliance Podcast. In today’s special episode, we welcome in SEC Commissioner Hester M. Peirce for an in-depth conversation focusing on the controversial topic of Chief Compliance Officer (CCO) liability.  In addition, we discuss the role of outsourced CCOs, the new Marketing Rule, and broker-dealer custody of digital asset securities and cryptocurrencies. She also...

Welcome back to the Securities Compliance podcast. In today’s episode, we discuss the recently adopted amendments to the Investment Adviser Marketing Rule and a new statement from the SEC alerting investors to a rising number of investment scams. For our interview segment, we welcome in former NSCP Chair and teleworking compliance expert Craig Watanabe to do a deep dive on how firms can best prepa...

On this episode of the Securities Compliance podcast, we’re going to discuss Stephanie Avakian’s departure from the SEC, updates on the proposed marketing and advertising rules, very interesting investment advisor metrics, and some new changes coming to New York state IAR rules. For the interview portion, I chat with Michelle Canella and Hope Brown. The three of us dive into diversity, equity, and...

Welcome back to the Compliance In Context podcast! On today’s show, we’ll discuss Jay Clayton’s departure from the SEC and the first real cases from the SEC Enforcement Division's Exchange-Traded Products Initiative.  For our interview segment, we welcome in former NSCP Chair and industry stalwart Miriam Lefkowitz to do a deep dive on how firms can best prepare for the practical application of Reg...

Welcome back to the Compliance In Context Podcast! In this episode, we discuss recent rulemaking from FINRA on remote inspections of broker-dealers and check in with OCIE on a risk alert highlighting deficiencies seen in adviser branch exams.  Our interview segment today features SEC and FINRA enforcement guru Brian Rubin for a deep dive into recent trends from the regulators and what to look out...