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

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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August 14, 2024 01:00:33
S5:E7 | Reviewing the FinCEN AML Rule Proposal | Compliance in Context

S5:E7 | Reviewing the FinCEN AML Rule Proposal | Compliance in Context

Welcome back to the Compliance In Context podcast! On today’s show, we perform a comprehensive review a of rule proposal from 2024 with the...

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6

July 18, 2024 00:53:01
S5:E6 | The Evolution of Compliance at the NSCP | Compliance in Context

S5:E6 | The Evolution of Compliance at the NSCP | Compliance in Context

Welcome back to the Compliance In Context podcast! On today’s show, we look at the evolution of compliance through the lens of the NSCP,...

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5

June 11, 2024 00:57:00
S5:E5 |  Building a Third-Party Due Diligence Program | Compliance in Context

S5:E5 | Building a Third-Party Due Diligence Program | Compliance in Context

Welcome back to the Compliance In Context podcast! On today’s show, we review an incredibly important topic for all SEC-registered broker-dealers and investment advisers,...

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4

May 15, 2024 01:03:30
S5:E4 | Analyzing FINRA Remote Supervision | Compliance in Context

S5:E4 | Analyzing FINRA Remote Supervision | Compliance in Context

Welcome back to the Compliance In Context podcast! On today’s show, we review one of the most important topics impacting broker-dealers this year, namely...

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