Patrick Hayes

The Securities Compliance Podcast: Compliance In Context

Business EN ↓ 80 episodes

Meet Patrick Hayes, investment management counsel at Calfee, Halter & Griswold and your host for The Securities Compliance Podcast presented by the National Society of Compliance Professionals. A personal master class for the securities legal and compliance professional, Patrick’s passion is to help you put Compliance In Context™ by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision-makers. Listen today to help elevate your firm’s compliance program and take your career to new heights.

Author

Patrick Hayes

Episodes

S1:E5 | Origins of the SEC's Asset Management Unit | Compliance In Context 10.11.2020 43:40

Welcome back to The Securities Compliance Podcast. In this episode, we cover the controversial issue of Chief Compliance Officer (CCO) liability and address recent remarks and recommendations from SEC’s Commissioner Hester M. Peirce to clarify CCO responsibilities. The interview segment features Rob Kaplan and Bruce Karpati discussing the origin story of SEC’s Asset Management Unit. Finally, we co...

S1:E4 | How FinTech and RegTech Impact Compliance | Compliance In Context 19.10.2020 23:36

Welcome back to the Securities Compliance podcast. On this episode, Today, we cover the SEC's new rule proposal regarding private issuers and raising capital and recent criticism to the amendments for Form 13F . Later, I speak with Chuck Senatore regarding the importance of FinTech and RegTech in the financial services industry and in your firm’s compliance program. Chuck is a board member and a...

S1:E3 | The New DOL Fiduciary Rule | Compliance In Context 19.10.2020 28:38

Welcome back to the second episode of the Securities Compliance Podcast. Today, we cover breaking developments on the whistleblower front and new trends in SEC enforcement. Later, I speak with ERISA expert David Kaleda, principal at Groom Law Group, to discuss the latest developments with the new DOL Fiduciary Rule and its impact on the investment management industry. David brings a wealth of expe...

S1:E2 | What's New at OCIE? | Compliance In Context 19.10.2020 27:22

Welcome to the first full episode of the Securities Compliance Podcast! A personal master class for the securities legal and compliance professional, we started this podcast with the mission of helping people put Compliance In Context™. At the start of each episode, we will cover some of the “hottest” compliance topics of the day, focusing on the news and noteworthy events that impact your firm’s...

S1:E1 | Introducing Your Personal Master Class | Compliance In Context 21.09.2020 6:36

Meet Patrick Hayes, your host for The Securities Compliance Podcast. A personal master class for the securities legal and compliance professional, Patrick’s passion is to help you put Compliance In Context™ by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision-makers. Listen today to help elevate your firm’s complian...