Coffee & Regs
Un pódcast de CSS (Compliance Solutions Strategies)
83 Episodo
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Preparing Private Funds for the Marketing Rule
Publicado: 9/8/2021 -
Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC
Publicado: 2/8/2021 -
Data Privacy & Building Compliance into the Product Development Lifecycle
Publicado: 26/7/2021 -
EMIR REFIT & Regulatory Harmonization
Publicado: 19/7/2021 -
Ransomware Attacks – Cybersecurity Concerns & Best Practices to Mitigate Risk
Publicado: 12/7/2021 -
Why Outsourced Compliance is No Longer a Dirty Word
Publicado: 5/7/2021 -
Betting on Bitcoin: Cryptocurrency & Digital Assets 101 for Investment Managers
Publicado: 28/6/2021 -
Expanding Your Compliance Program Through Trade Surveillance
Publicado: 21/6/2021 -
Keeping Pace with Position Limits & Pre-Trade Monitoring
Publicado: 14/6/2021 -
Getting a Head Start on the SEC Derivatives Rule 18f-4
Publicado: 7/6/2021 -
ESG and the Impact of the EU SFDR on U.S. Asset Managers
Publicado: 31/5/2021 -
Private Funds 101 – From SEC Registration to Compliance Rules
Publicado: 24/5/2021 -
Special Episode: Spotlighting the Expect Miracles Foundation & Social Distance Challenge
Publicado: 17/5/2021 -
The Facts on FINRA & Capital Acquisition Brokers
Publicado: 10/5/2021 -
New Rule Roadmap: Navigating and Implementing the Marketing Rule
Publicado: 3/5/2021 -
Managing Cyber Insurance Risk
Publicado: 26/4/2021 -
ESMA Updates, MiFIR & Transaction Reporting Trends
Publicado: 19/4/2021 -
Mastering the Marketing Rule
Publicado: 12/4/2021 -
Preparing Now for a PRIIPs KID Project Plan
Publicado: 5/4/2021 -
Pension Funds & Independent Compliance Reviews
Publicado: 29/3/2021
A CSS RegTech podcast series on moving from a tactical to strategic approach to regulatory compliance. The global regulatory space is complex and fragmented. Financial firms can address this problem through tactical responses to regulatory deadlines or think more strategically on how to optimize their compliance data, operations and technology. The Compliance Solutions Strategies weekly podcast features regulatory experts, former Chief Compliance Officers, cybersecurity specialists, industry partners and RegTech collaborators to help prepare investment management firms for changes on the regulatory horizon.