Latest Episodes
S6:E14 | Recent Rulemaking – OBAs, Custody, and Pay-To-Play | Compliance in Context
Welcome back to the Compliance In Context podcast! On today’s show, we will be exploring some recent rulemaking from both FINRA and SEC, focusing...
S6:E13 | Introducing the NSCP Compliance Mapping Tool and Previewing the National Conference | Compliance in Context
Welcome back to the Compliance In Context podcast! On today’s show, we do a deep dive into a brand new compliance mapping tool developed...
S6:E12 | How Do We Develop Compliance Officers In An AI Era? | Compliance in Context
Welcome back to the Compliance In Context podcast! On today’s show, we dive into the conversation on how firms continue to develop legal practitioners...
S6:E11 | A Comprehensive Look at Ponzi Schemes – Lessons From The Front Lines | Compliance in Context
Welcome back to the Compliance In Context podcast! On today’s show, we will be providing a comprehensive, deep-dive look at Ponzi schemes—what are they,...
S6:E10 | Building Compliance in an AI World | Compliance in Context
Welcome back to the Compliance In Context podcast! On today’s show, we discuss how to build a culture of compliance in AI world and...
S6:E9 | FINRA Forward and Some New Rulemaking | Compliance in Context
Welcome back to the Compliance In Context podcast! On today’s show, we discuss the FINRA Forward initiative and review some of the recent FINRA...