Coffee & Regs
Ein Podcast von CSS (Compliance Solutions Strategies)
Kategorien:
83 Folgen
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Preparing Private Funds for the Marketing Rule
Vom: 9.8.2021 -
Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC
Vom: 2.8.2021 -
Data Privacy & Building Compliance into the Product Development Lifecycle
Vom: 26.7.2021 -
EMIR REFIT & Regulatory Harmonization
Vom: 19.7.2021 -
Ransomware Attacks – Cybersecurity Concerns & Best Practices to Mitigate Risk
Vom: 12.7.2021 -
Why Outsourced Compliance is No Longer a Dirty Word
Vom: 5.7.2021 -
Betting on Bitcoin: Cryptocurrency & Digital Assets 101 for Investment Managers
Vom: 28.6.2021 -
Expanding Your Compliance Program Through Trade Surveillance
Vom: 21.6.2021 -
Keeping Pace with Position Limits & Pre-Trade Monitoring
Vom: 14.6.2021 -
Getting a Head Start on the SEC Derivatives Rule 18f-4
Vom: 7.6.2021 -
ESG and the Impact of the EU SFDR on U.S. Asset Managers
Vom: 31.5.2021 -
Private Funds 101 – From SEC Registration to Compliance Rules
Vom: 24.5.2021 -
Special Episode: Spotlighting the Expect Miracles Foundation & Social Distance Challenge
Vom: 17.5.2021 -
The Facts on FINRA & Capital Acquisition Brokers
Vom: 10.5.2021 -
New Rule Roadmap: Navigating and Implementing the Marketing Rule
Vom: 3.5.2021 -
Managing Cyber Insurance Risk
Vom: 26.4.2021 -
ESMA Updates, MiFIR & Transaction Reporting Trends
Vom: 19.4.2021 -
Mastering the Marketing Rule
Vom: 12.4.2021 -
Preparing Now for a PRIIPs KID Project Plan
Vom: 5.4.2021 -
Pension Funds & Independent Compliance Reviews
Vom: 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.