Latest Episodes
11
S1:E11 | Lessons From The Front Lines - SEC Enforcement and the Impact on the Industry | Compliance In Context
Welcome back to The Securities Compliance Podcast! On today’s show, we officially launch the Lessons From the Front Lines series. Much like our regular...
10
S1:E10 | Thoughts on CCO Liability from Commissioner Peirce | Compliance In Context
Welcome back to The Securities Compliance Podcast. In today’s special episode, we welcome in SEC Commissioner Hester M. Peirce for an in-depth conversation focusing...
9
S1:E9 | Cybersecurity and Teleworking | Compliance In Context
Welcome back to the Securities Compliance podcast. In today’s episode, we discuss the recently adopted amendments to the Investment Adviser Marketing Rule and a...
8
S1:E8 | Diversity, Equity & Inclusion in Your Compliance Program | 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...
7
S1:E7 | What's Up with Regulation Best Interest and How the Best Firms are Addressing the New Rule | Compliance In Context
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...
6
S1:E6 | Recent Trends in SEC and FINRA Enforcement | Compliance In Context
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...