83 Epizód

  1. Preparing Private Funds for the Marketing Rule

    Közzétéve: 2021. 08. 09.

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

    Közzétéve: 2021. 08. 02.

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

    Közzétéve: 2021. 07. 26.

  4. EMIR REFIT & Regulatory Harmonization

    Közzétéve: 2021. 07. 19.

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

    Közzétéve: 2021. 07. 12.

  6. Why Outsourced Compliance is No Longer a Dirty Word

    Közzétéve: 2021. 07. 05.

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

    Közzétéve: 2021. 06. 28.

  8. Expanding Your Compliance Program Through Trade Surveillance

    Közzétéve: 2021. 06. 21.

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

    Közzétéve: 2021. 06. 14.

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

    Közzétéve: 2021. 06. 07.

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

    Közzétéve: 2021. 05. 31.

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

    Közzétéve: 2021. 05. 24.

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

    Közzétéve: 2021. 05. 17.

  14. The Facts on FINRA & Capital Acquisition Brokers

    Közzétéve: 2021. 05. 10.

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

    Közzétéve: 2021. 05. 03.

  16. Managing Cyber Insurance Risk

    Közzétéve: 2021. 04. 26.

  17. ESMA Updates, MiFIR & Transaction Reporting Trends

    Közzétéve: 2021. 04. 19.

  18. Mastering the Marketing Rule

    Közzétéve: 2021. 04. 12.

  19. Preparing Now for a PRIIPs KID Project Plan

    Közzétéve: 2021. 04. 05.

  20. Pension Funds & Independent Compliance Reviews

    Közzétéve: 2021. 03. 29.

2 / 5

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.

Visit the podcast's native language site