The Securities Compliance Podcast: Compliance In Context

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May 07, 2024 • 00:53:10

S5:E3 | Breaking Down The “New” DOL Fiduciary Rule – 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 with renowned retirement plan...

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April 17, 2024 • 00:56:09

S5:E2 | The CCO’s Toolkit | Compliance in Context

Welcome back to the Compliance In Context podcast! On today’s show, I am thrilled to welcome back to the show, Mr. Rob Tull, who...

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March 11, 2024 • 00:56:26

S5:E1 | The State of the Investment Adviser Industry | Compliance In Context

Welcome back to the Compliance In Context podcast! On today’s show, we have with us two very special guests in the investment management space,...

February 26, 2024 • 00:47:04

S4:E14 | The Impact of Data on Compliance Part II | Compliance In Context

Welcome back to the Compliance in Context Podcast! On today’s show, we welcome back in welcome in David Scalzetti, Senior Director of Regulatory Products...

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February 09, 2024 • 00:46:16

S4:E13 | The Impact of Data on Compliance Part I | Compliance In Context

Welcome back to the Compliance in Context Podcast! On today’s show, we welcome in David Scalzetti, Senior Director of Regulatory Products and Strategy at...

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January 08, 2024 • 00:59:46

S4:E12 | Revisiting CCO Liability and the NSCP Framework | Compliance In Context

Welcome back to the Compliance in Context Podcast! On today’s show, we welcome in Brian Rubin to discuss the current state of CCO liability...