The Securities Compliance Podcast: Compliance In Context

The Securities Compliance Podcast: Compliance In Context

Por: Patrick Hayes
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 and compliance professional, Patrick’s passion is to help you put Compliance In Context™ by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision-makers. Listen today to help elevate your firm’s compliance program and take your career to new heights.
75 episodios disponibles

Latest episodes of the podcast The Securities Compliance Podcast: Compliance In Context

Mostrando página 2 de 4

S4:E13 | The Impact of Data on Compliance Part I | Compliance In Context 09/02/2024
S4:E12 | Revisiting CCO Liability and the NSCP Framework | Compliance In Context 08/01/2024
S4:E11 | Marketing and Advertising in SEC Exams – Lessons From The Front Lines | Compliance In Context 12/12/2023
S4:E10 | Reviewing the PDA Rule Proposal | Compliance In Context 08/11/2023
S4:E9 | Private Fund Rules Finalized: Trick or Treat? – Lessons From The Front Lines | Compliance In Context 05/10/2023
S4:E8 | The Intersection of AI and Compliance | Compliance In Context 12/09/2023
S4_E7 l Cryptocurrency and the Ripple Effect l Compliance In Context 11/08/2023
S4:E6 | What Do You Mean, Valuation? | Compliance In Context 12/07/2023
S4:E5 | Cybersecurity Rule Proposal Redux - Lessons From The Front Lines | Compliance In Context 20/06/2023
S4:E4 | 2023 Report on FINRA's Examination and Risk Monitoring Program | Compliance In Context 02/05/2023
S4:E3 | Breaking Down The New SEC Custody Rule Proposal | Compliance In Context 30/03/2023
S4:E2 | Keeping Up With ESG | Compliance In Context 08/03/2023
S4:E1 | Recent Trends in SEC Examinations - Lessons From The Front Lines | Compliance In Context 24/01/2023
S3:E14 l The State of the Investment Adviser Industry l Compliance In Context 09/01/2023
S3:E13 | Building Your Mental Resiliency | Compliance in Context 01/12/2022
S3:E12 | The New SEC Cybersecurity Rule Proposal--What You Need To Know | Compliance in Context 13/10/2022
S3:E11 | Marketing Rule Master Class Episode 6 - Implementation | Compliance in Context 10/08/2022
S3:E10 | Marketing Rule Master Class Episode 5 - Adventures in Marketing | Compliance in Context 10/08/2022
S3:E9 | Marketing Rule Master Class Episode 4 - Performance | Compliance in Context 10/08/2022
S3:E8 | Marketing Rule Master Class Episode 3 - Impact on Private Funds | Compliance in Context 10/08/2022
« Primera ‹ Anterior 1 2 3 4 Siguiente › Última »
© 2003-2026 ZARZA | AHEAD OF OUR TIME
privacy policy
In God we trust In God we trust
PreSales Questions? Click Here
or call our toll-free line at +1-888-5002068 Miami, Florida, USA