Coffee & Regs
Een podcast door CSS (Compliance Solutions Strategies)
83 Afleveringen
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Preparing Private Funds for the Marketing Rule
Gepubliceerd: 9-8-2021 -
Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC
Gepubliceerd: 2-8-2021 -
Data Privacy & Building Compliance into the Product Development Lifecycle
Gepubliceerd: 26-7-2021 -
EMIR REFIT & Regulatory Harmonization
Gepubliceerd: 19-7-2021 -
Ransomware Attacks – Cybersecurity Concerns & Best Practices to Mitigate Risk
Gepubliceerd: 12-7-2021 -
Why Outsourced Compliance is No Longer a Dirty Word
Gepubliceerd: 5-7-2021 -
Betting on Bitcoin: Cryptocurrency & Digital Assets 101 for Investment Managers
Gepubliceerd: 28-6-2021 -
Expanding Your Compliance Program Through Trade Surveillance
Gepubliceerd: 21-6-2021 -
Keeping Pace with Position Limits & Pre-Trade Monitoring
Gepubliceerd: 14-6-2021 -
Getting a Head Start on the SEC Derivatives Rule 18f-4
Gepubliceerd: 7-6-2021 -
ESG and the Impact of the EU SFDR on U.S. Asset Managers
Gepubliceerd: 31-5-2021 -
Private Funds 101 – From SEC Registration to Compliance Rules
Gepubliceerd: 24-5-2021 -
Special Episode: Spotlighting the Expect Miracles Foundation & Social Distance Challenge
Gepubliceerd: 17-5-2021 -
The Facts on FINRA & Capital Acquisition Brokers
Gepubliceerd: 10-5-2021 -
New Rule Roadmap: Navigating and Implementing the Marketing Rule
Gepubliceerd: 3-5-2021 -
Managing Cyber Insurance Risk
Gepubliceerd: 26-4-2021 -
ESMA Updates, MiFIR & Transaction Reporting Trends
Gepubliceerd: 19-4-2021 -
Mastering the Marketing Rule
Gepubliceerd: 12-4-2021 -
Preparing Now for a PRIIPs KID Project Plan
Gepubliceerd: 5-4-2021 -
Pension Funds & Independent Compliance Reviews
Gepubliceerd: 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.