83 Episodio

  1. Preparing Private Funds for the Marketing Rule

    Pubblicato: 09/08/2021

  2. Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC

    Pubblicato: 02/08/2021

  3. Data Privacy & Building Compliance into the Product Development Lifecycle

    Pubblicato: 26/07/2021

  4. EMIR REFIT & Regulatory Harmonization

    Pubblicato: 19/07/2021

  5. Ransomware Attacks – Cybersecurity Concerns & Best Practices to Mitigate Risk

    Pubblicato: 12/07/2021

  6. Why Outsourced Compliance is No Longer a Dirty Word

    Pubblicato: 05/07/2021

  7. Betting on Bitcoin: Cryptocurrency & Digital Assets 101 for Investment Managers

    Pubblicato: 28/06/2021

  8. Expanding Your Compliance Program Through Trade Surveillance

    Pubblicato: 21/06/2021

  9. Keeping Pace with Position Limits & Pre-Trade Monitoring

    Pubblicato: 14/06/2021

  10. Getting a Head Start on the SEC Derivatives Rule 18f-4

    Pubblicato: 07/06/2021

  11. ESG and the Impact of the EU SFDR on U.S. Asset Managers

    Pubblicato: 31/05/2021

  12. Private Funds 101 – From SEC Registration to Compliance Rules

    Pubblicato: 24/05/2021

  13. Special Episode: Spotlighting the Expect Miracles Foundation & Social Distance Challenge

    Pubblicato: 17/05/2021

  14. The Facts on FINRA & Capital Acquisition Brokers

    Pubblicato: 10/05/2021

  15. New Rule Roadmap: Navigating and Implementing the Marketing Rule

    Pubblicato: 03/05/2021

  16. Managing Cyber Insurance Risk

    Pubblicato: 26/04/2021

  17. ESMA Updates, MiFIR & Transaction Reporting Trends

    Pubblicato: 19/04/2021

  18. Mastering the Marketing Rule

    Pubblicato: 12/04/2021

  19. Preparing Now for a PRIIPs KID Project Plan

    Pubblicato: 05/04/2021

  20. Pension Funds & Independent Compliance Reviews

    Pubblicato: 29/03/2021

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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.

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