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