The Securities Compliance Podcast: Compliance In Context

Meet Patrick Hayes, investment management counsel at Calfee, Halter & Griswold and your host for The Securities Compliance Podcast presented by the National Society of Compliance Professionals. A personal master class for the securities legal ...more

Latest Episodes

5

June 11, 2024 00:57:00
S5:E5 |  Building a Third-Party Due Diligence Program | Compliance in Context

S5:E5 | Building a Third-Party Due Diligence Program | Compliance in Context

Welcome back to the Compliance In Context podcast! On today’s show, we review an incredibly important topic for all SEC-registered broker-dealers and investment advisers,...

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4

May 15, 2024 01:03:30
S5:E4 | Analyzing FINRA Remote Supervision | Compliance in Context

S5:E4 | Analyzing FINRA Remote Supervision | Compliance in Context

Welcome back to the Compliance In Context podcast! On today’s show, we review one of the most important topics impacting broker-dealers this year, namely...

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3

May 07, 2024 00:53:10
S5:E3 | Breaking Down The “New” DOL Fiduciary Rule – Lessons From The Front Lines | Compliance In Context

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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2

April 17, 2024 00:56:09
S5:E2 | The CCO’s Toolkit | Compliance in Context

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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1

March 11, 2024 00:56:26
S5:E1 | The State of the Investment Adviser Industry | Compliance In Context

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,...

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February 26, 2024 00:47:04
S4:E14 | The Impact of Data on Compliance Part II | Compliance In Context

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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