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

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...

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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...

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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...

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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...

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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...

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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...

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