Coffee & Regs
A podcast by CSS (Compliance Solutions Strategies)
83 Episoade
-
Preparing Private Funds for the Marketing Rule
Publicat: 09.08.2021 -
Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC
Publicat: 02.08.2021 -
Data Privacy & Building Compliance into the Product Development Lifecycle
Publicat: 26.07.2021 -
EMIR REFIT & Regulatory Harmonization
Publicat: 19.07.2021 -
Ransomware Attacks – Cybersecurity Concerns & Best Practices to Mitigate Risk
Publicat: 12.07.2021 -
Why Outsourced Compliance is No Longer a Dirty Word
Publicat: 05.07.2021 -
Betting on Bitcoin: Cryptocurrency & Digital Assets 101 for Investment Managers
Publicat: 28.06.2021 -
Expanding Your Compliance Program Through Trade Surveillance
Publicat: 21.06.2021 -
Keeping Pace with Position Limits & Pre-Trade Monitoring
Publicat: 14.06.2021 -
Getting a Head Start on the SEC Derivatives Rule 18f-4
Publicat: 07.06.2021 -
ESG and the Impact of the EU SFDR on U.S. Asset Managers
Publicat: 31.05.2021 -
Private Funds 101 – From SEC Registration to Compliance Rules
Publicat: 24.05.2021 -
Special Episode: Spotlighting the Expect Miracles Foundation & Social Distance Challenge
Publicat: 17.05.2021 -
The Facts on FINRA & Capital Acquisition Brokers
Publicat: 10.05.2021 -
New Rule Roadmap: Navigating and Implementing the Marketing Rule
Publicat: 03.05.2021 -
Managing Cyber Insurance Risk
Publicat: 26.04.2021 -
ESMA Updates, MiFIR & Transaction Reporting Trends
Publicat: 19.04.2021 -
Mastering the Marketing Rule
Publicat: 12.04.2021 -
Preparing Now for a PRIIPs KID Project Plan
Publicat: 05.04.2021 -
Pension Funds & Independent Compliance Reviews
Publicat: 29.03.2021
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.