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

11

August 10, 2022 01:06:37
S3:E11 | Marketing Rule Master Class Episode 6 - Implementation | Compliance in Context

S3:E11 | Marketing Rule Master Class Episode 6 - Implementation | Compliance in Context

Welcome to Episode 6 of the Marketing Rule Master Class mini-series.  In our final episode we are building upon the lessons learned in the...

Listen

10

August 10, 2022 01:11:58
S3:E10 | Marketing Rule Master Class Episode 5 - Adventures in Marketing | Compliance in Context

S3:E10 | Marketing Rule Master Class Episode 5 - Adventures in Marketing | Compliance in Context

Welcome to Episode 5 of the Marketing Rule Master Class mini-series.  Episode 5 focuses on testimonials, endorsements, and third-party ratings. Moderator, Patrick Hayes, Calfee...

Listen

9

August 10, 2022 01:17:28
S3:E9 | Marketing Rule Master Class Episode 4 - Performance | Compliance in Context

S3:E9 | Marketing Rule Master Class Episode 4 - Performance | Compliance in Context

Welcome to Episode 4 of the Marketing Rule Master Class mini-series focused on performance.  In our fourth episode of the master class, moderated by...

Listen

8

August 10, 2022 01:20:29
S3:E8 | Marketing Rule Master Class Episode 3 - Impact on Private Funds | Compliance in Context

S3:E8 | Marketing Rule Master Class Episode 3 - Impact on Private Funds | Compliance in Context

In the third episode of our new master class series on the SEC Marketing Rule! You’ll hear from host, Patrick Hayes, Calfee along with...

Listen

7

August 09, 2022 01:06:01
S3:E7 | Marketing Rule Master Class - Episode 2 Overview of the Rule and Tricky Legal Aspects | Compliance in Context

S3:E7 | Marketing Rule Master Class - Episode 2 Overview of the Rule and Tricky Legal Aspects | Compliance in Context

Welcome back! In the second episode of our new master class series on the SEC Marketing Rule! You’ll hear from host, Carlo di Florio...

Listen

6

August 02, 2022 01:02:42
S3:E6 | Marketing Rule Master Class Episode 1 - Background and Observations on the New Rule | Compliance in Context

S3:E6 | Marketing Rule Master Class Episode 1 - Background and Observations on the New Rule | Compliance in Context

Welcome back to Compliance In Context podcast! We are incredibly pleased to announce the release of our new master class series on the new...

Listen