Coffee & Regs
En podkast av CSS (Compliance Solutions Strategies)
Kategorier:
83 Episoder
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Preparing Private Funds for the Marketing Rule
Publisert: 9.8.2021 -
Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC
Publisert: 2.8.2021 -
Data Privacy & Building Compliance into the Product Development Lifecycle
Publisert: 26.7.2021 -
EMIR REFIT & Regulatory Harmonization
Publisert: 19.7.2021 -
Ransomware Attacks – Cybersecurity Concerns & Best Practices to Mitigate Risk
Publisert: 12.7.2021 -
Why Outsourced Compliance is No Longer a Dirty Word
Publisert: 5.7.2021 -
Betting on Bitcoin: Cryptocurrency & Digital Assets 101 for Investment Managers
Publisert: 28.6.2021 -
Expanding Your Compliance Program Through Trade Surveillance
Publisert: 21.6.2021 -
Keeping Pace with Position Limits & Pre-Trade Monitoring
Publisert: 14.6.2021 -
Getting a Head Start on the SEC Derivatives Rule 18f-4
Publisert: 7.6.2021 -
ESG and the Impact of the EU SFDR on U.S. Asset Managers
Publisert: 31.5.2021 -
Private Funds 101 – From SEC Registration to Compliance Rules
Publisert: 24.5.2021 -
Special Episode: Spotlighting the Expect Miracles Foundation & Social Distance Challenge
Publisert: 17.5.2021 -
The Facts on FINRA & Capital Acquisition Brokers
Publisert: 10.5.2021 -
New Rule Roadmap: Navigating and Implementing the Marketing Rule
Publisert: 3.5.2021 -
Managing Cyber Insurance Risk
Publisert: 26.4.2021 -
ESMA Updates, MiFIR & Transaction Reporting Trends
Publisert: 19.4.2021 -
Mastering the Marketing Rule
Publisert: 12.4.2021 -
Preparing Now for a PRIIPs KID Project Plan
Publisert: 5.4.2021 -
Pension Funds & Independent Compliance Reviews
Publisert: 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.