The Securities Compliance Podcast: Compliance In Context

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December 08, 2020 • 00:38:28

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...

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November 24, 2020 • 00:30:27

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...

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November 10, 2020 • 00:43:40

S1:E5 | Origins of the SEC's Asset Management Unit | Compliance In Context

Welcome back to The Securities Compliance Podcast. In this episode, we cover the controversial issue of Chief Compliance Officer (CCO) liability and address recent...

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October 19, 2020 • 00:23:36

S1:E4 | How FinTech and RegTech Impact Compliance | Compliance In Context

Welcome back to the Securities Compliance podcast. On this episode, Today, we cover the SEC's new rule proposal regarding private issuers and raising capital...

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October 19, 2020 • 00:28:38

S1:E3 | The New DOL Fiduciary Rule | Compliance In Context

Welcome back to the second episode of the Securities Compliance Podcast. Today, we cover breaking developments on the whistleblower front and new trends in...

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October 19, 2020 • 00:27:22

S1:E2 | What's New at OCIE? | Compliance In Context

Welcome to the first full episode of the Securities Compliance Podcast! A personal master class for the securities legal and compliance professional, we started...