The Securities Compliance Podcast: Compliance In Context

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...

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...

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...

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...

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...

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...