83 Avsnitt

  1. Preparing Private Funds for the Marketing Rule

    Publicerades: 2021-08-09

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

    Publicerades: 2021-08-02

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

    Publicerades: 2021-07-26

  4. EMIR REFIT & Regulatory Harmonization

    Publicerades: 2021-07-19

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

    Publicerades: 2021-07-12

  6. Why Outsourced Compliance is No Longer a Dirty Word

    Publicerades: 2021-07-05

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

    Publicerades: 2021-06-28

  8. Expanding Your Compliance Program Through Trade Surveillance

    Publicerades: 2021-06-21

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

    Publicerades: 2021-06-14

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

    Publicerades: 2021-06-07

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

    Publicerades: 2021-05-31

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

    Publicerades: 2021-05-24

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

    Publicerades: 2021-05-17

  14. The Facts on FINRA & Capital Acquisition Brokers

    Publicerades: 2021-05-10

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

    Publicerades: 2021-05-03

  16. Managing Cyber Insurance Risk

    Publicerades: 2021-04-26

  17. ESMA Updates, MiFIR & Transaction Reporting Trends

    Publicerades: 2021-04-19

  18. Mastering the Marketing Rule

    Publicerades: 2021-04-12

  19. Preparing Now for a PRIIPs KID Project Plan

    Publicerades: 2021-04-05

  20. Pension Funds & Independent Compliance Reviews

    Publicerades: 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