Latest Episodes
S2:E13 | Revisiting the Issue of CCO Liability | Compliance In Context
Welcome back to the Compliance In Context Podcast! This episode, we welcome in Carlo di Florio, Chief Services Officer at ACA Group and Brian...
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S2:E12 | Cybersecurity and Teleworking Part II - What Does Windows 11 Mean To You? | Compliance In Context
Welcome back to the Compliance In Context Podcast! On today’s show, we welcome the return of former NSCP Board Chair and all-around compliance expert,...
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S2:E11 | The New DOL Fiduciary Rule is Coming: Are You Ready? | Compliance In Context
Welcome back to the Compliance In Context Podcast! On today’s show, we welcome the Marcia Wagner, founder of The Wagner Law Group and an...
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S2:E10 | Lessons From The Front Lines - Thoughts on Crypto From the SEC and FINRA | Compliance In Context
Welcome back to the Compliance In Context Podcast! Today’s podcast features the fourth in our Lessons From The Front Lines series which focus on...
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S2:E9 | What's New at NASAA | Compliance In Context
Welcome back to the Compliance In Context Podcast! On today’s episode, we welcome in the President of the North American Securities Administrators Association, Melanie...
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S2:E8 | Finding Your Career Path In Compliance | Compliance In Context
Welcome back to the Compliance In Context Podcast! On today’s episode, we welcome in Jennifer Selliers, Director of Internal Compliance for the State of...