The Securities Compliance Podcast: Compliance In Context

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 ...more

Latest Episodes

February 28, 2025 01:06:48
S5:E13 | Compliance Grab Bag! | Compliance In Context

S5:E13 | Compliance Grab Bag! | Compliance In Context

Welcome back to the Compliance In Context podcast! On today’s show, we will be reviewing a multitude of regulatory and compliance topics, including artificial...

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February 11, 2025 00:59:45
S5:E12 | Key Takeaways From The 2024 SEC Enforcement Results - Lessons From The Front Lines | Compliance In Context

S5:E12 | Key Takeaways From The 2024 SEC Enforcement Results - Lessons From The Front Lines | Compliance In Context

Welcome back to the Compliance in Context Podcast! On today’s show, we feature a Lessons From The Front Lines episode where we will be...

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January 08, 2025 00:57:20
S5:E11 | Effective Strategies For Building Your Compliance Team | Compliance In Context

S5:E11 | Effective Strategies For Building Your Compliance Team | Compliance In Context

Welcome back to the Compliance In Context podcast! On today’s show, we welcome in former NSCP Chair and current CCO of Robinhood, Norm Ashkenas,...

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December 11, 2024 01:04:14
S5:E10 | What's Happening in Crypto and the Impact of a New Administration | Compliance In Context

S5:E10 | What's Happening in Crypto and the Impact of a New Administration | Compliance In Context

Welcome back to the Compliance In Context podcast! On today’s show, we welcome in Ranah Esmaili and Louis Froelich to help us review the...

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October 31, 2024 01:02:40
S5:E9 | DOL Fiduciary Rule Update – Where Are We Now and Best Practices for Retirement Investors – Lessons From The Front Lines | Compliance In Context

S5:E9 | DOL Fiduciary Rule Update – Where Are We Now and Best Practices for Retirement Investors – Lessons From The Front Lines | Compliance In Context

Welcome back to the Compliance in Context Podcast! On today’s show, we feature a Lessons From The Front Lines episode where we welcome an...

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September 03, 2024 00:54:49
S5:E8 | PFAR Takes a Vacation and No More Chevron – Lessons From The Front Lines | Compliance In Context

S5:E8 | PFAR Takes a Vacation and No More Chevron – Lessons From The Front Lines | Compliance In Context

Welcome back to the Compliance in Context Podcast! On today’s show, we feature a Lessons From The Front Lines episode where we welcome two...

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