The Securities Compliance Podcast: Compliance In Context

Meet Patrick Hayes, Founder and Managing Partner of Hayes Law and Compliance and your host for The Securities Compliance Podcast presented by the National Society of Compliance Professionals. A personal master class for the securities ...more

Latest Episodes

10

November 08, 2023 01:01:28
S4:E10 | Reviewing the PDA Rule Proposal | Compliance In Context

S4:E10 | Reviewing the PDA Rule Proposal | Compliance In Context

Welcome back to the Compliance in Context Podcast! on today’s show, we do a deep dive on the recent rule proposal from the SEC...

Listen

October 05, 2023 01:00:55
S4:E9 | Private Fund Rules Finalized: Trick or Treat? – Lessons From The Front Lines | Compliance In Context

S4:E9 | Private Fund Rules Finalized: Trick or Treat? – Lessons From The Front Lines | Compliance In Context

Description Welcome back to the Compliance in Context Podcast! On today’s show, we feature a Lessons From The Front Lines episode on the recently...

Listen

8

September 12, 2023 01:02:59
S4:E8 | The Intersection of AI and Compliance | Compliance In Context

S4:E8 | The Intersection of AI and Compliance | Compliance In Context

Welcome back to the Compliance in Context Podcast! on today’s show, we take a look at one of the most-talked about subjects over the...

Listen

7

August 11, 2023 01:07:29
S4_E7 l Cryptocurrency and the Ripple Effect l Compliance In Context

S4_E7 l Cryptocurrency and the Ripple Effect l Compliance In Context

Welcome back to the Compliance in Context Podcast! On today’s show, we dive back into the Cryptocurrency conversation with one of our favorite FinTech...

Listen

6

July 12, 2023 01:05:12
S4:E6 | What Do You Mean, Valuation? | Compliance In Context

S4:E6 | What Do You Mean, Valuation? | Compliance In Context

Welcome back to the Compliance in Context Podcast! On today’s show, we take a comprehensive look at the ever-important topic of valuation, why it’s...

Listen

5

June 20, 2023 01:24:26
S4:E5 | Cybersecurity Rule Proposal Redux - Lessons From The Front Lines | Compliance In Context

S4:E5 | Cybersecurity Rule Proposal Redux - Lessons From The Front Lines | Compliance In Context

Welcome back to the Compliance in Context Podcast! On today’s show, we do a double-feature Lessons From The Front Lines episode on the SEC...

Listen