Meet Patrick Hayes, your host for The Securities Compliance Podcast. A personal master class for the securities legal and compliance professional, Patrick’s passion is to help you put Compliance In Context™ by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision-makers. Listen today to help elevate your firm’s compliance program and take your career to new heights.
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,...
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...
Welcome back to the Compliance In Context Podcast! On today’s episode, we we welcome in Melissa Loner, the Executive Vice President of Advisor Services...