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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.

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.

Location:

United States

Description:

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.

Language:

English

Contact:

6469522514


Episodes

Regulatory Reporting Complexities & Case Studies

1/25/2021
In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Client Officer Jac Dunne to take a look at some implementation case studies to uncover the challenges of regulatory reporting and how asset managers and fund administrators can optimize and scale their regulatory operations more efficiently.

Duration:00:12:01

Crystal Ball Gazing for Compliance & the SEC in 2021

1/18/2021
In this episode, CSS’s Executive Director Jackie Hallihan sits down with Senior Consultant Adam DiPaolo to read the tea leaves on 2021. The compliance duo discusses changes to the SEC itself to regulations, rule-making, examination and enforcement trends and how to prepare for the predictability and unpredictability of compliance in the new year.

Duration:00:08:37

From Financials to Fish, What’s Next for Post-Brexit Equivalence?

1/11/2021
In this episode, CSS’s SVP of Business Development Ashley Smith joins Chief Product Officer Ronan Brennan to discuss a post-Brexit world for financial services, the end of passporting, what's next for equivalence and the upcoming March 2021 deadline.

Duration:00:10:06

Solvency II Review and What's Next for Insurers?

12/21/2020
In this episode, SVP of Business Development at CSS Ashley Smith sits down with two insurance and Solvency II experts from MBE Consulting to discuss the push for asset managers to attract more insurance investors, and what should asset managers be doing now, including focusing on data management and the quality of their Solvency Capital Requirement (SCR).

Duration:00:14:13

Brexit Part 2: Post-Brexit in the Fund Industry

12/14/2020
In this episode, CSS's Chief Product Officer Ronan Brennan represents the EU and President of CSS John Lee represents the UK in a no holds barred discussion on post-Brexit complexities in Part 2 of a special two-part series. The conversation focuses on how the fund industry will compete with Dublin and Luxembourg, and what's next for UCITS and the UK and EU fund regimes.

Duration:00:14:53

Brexit Part 1: The Advantages & Implications of Divergence

12/7/2020
In this episode, Chief Product Officer of CSS Ronan Brennan joins Natalie Silverman to discuss all things Brexit in Part 1 of a special two-part series. The conversation starts with a recap on the state of negotiations and turns to the advantages and opportunities for funds and the implications of the UK/EU divergence for UCITS and PRIIPs.

Duration:00:08:55

Business Unusual or BAU: Why Incident Response Planning is Critical for Financial Services

11/30/2020
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak and Legal Director at ZwillGen Jason Wool talk about incident response planning. Why is it important to not just have a policy or program in place during a pandemic, but how to build trust with clients by protecting their data, mitigating any enterprise risk and using tabletop testing practices to put plans into action.

Duration:00:23:43

Sustaining Sustainability: What’s Next for ESG?

11/23/2020
In this episode, CSS’s Chief Product Officer Ronan Brennan and Regulatory Guidance & ESG Specialist Marye Cherry talk about all things ESG. The integration of environmental, social and governance considerations into the investment process has taken center stage in the financial regulatory space. With the Sustainable Finance Disclosure Regulation (SFDR) deadline around the corner in 2021, the EU is about to usher in a wide range of new ESG requirements on EU financial market participants and...

Duration:00:19:36

The Next Generation of Compliance

11/16/2020
In this episode, CSS’s team of former Chief Compliance Officers Dan Haynes and Ariana Monchick sit down to discuss the importance of mentoring early-career professionals in your compliance department. Not everyone grows up wanting to be a CCO, but there are best practices to develop talent and build a robust compliance community from the grassroots.

Duration:00:18:16

Risk Alert: Service Provider Due Diligence

11/9/2020
In this episode, CSS’s team of former Chief Compliance Officers Allison Fraser and Matt Calabro sit down to discuss why financial services firms should establish a due diligence oversight program to build better partnerships with service providers and assess financial, operational, regulatory and reputational risks.

Duration:00:21:28

Who Ya Gonna Call When a Compliance Officer Needs Help?

11/2/2020
In this episode, CSS’s team of former Chief Compliance Officers Korrine Kohm and Victoria Olson sit down to discuss why outsourcing compliance no longer has a negative connotation. As a CCO takes on more responsibilities, from cybersecurity threats to business continuity plans, new regulations, changes in business strategy and more, imagine the benefits of having supplemental resources to complement an existing compliance program. Outsourcing individual tasks enables compliance teams to be...

Duration:00:22:45

The COVID Coverage Financial Firms Need: A Cyber Insurance Policy

10/26/2020
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak sits down with AVP, Program Executive at Varney Agency Nick Weiner for a Cybersecurity Awareness Month discussion on cyber insurance. The global cyber insurance market size is projected to grow from $7.8 billion in 2020 to $20.4 billion by 2025. Major factors driving this growth include the increasing number of security breaches and cyberattacks during COVID-19 that have resulted in large-scale financial losses and stringent...

Duration:00:19:10

Brexit: Deal or No Deal?

10/16/2020
In this special Brexit episode, CSS’s Chief Product Officer Ronan Brennan sits down with the authority on global financial services legislation and Vice Chair of Financial Services at KPMG UK, Dr. Kay Swinburne. With the UK and EU not reaching a trade agreement on October 15, the EU summit is expected to push for negotiations to continue in the coming weeks. Kay speaks about what’s next for Brexit, and what regulatory divergence could look like.

Duration:00:23:13

California Love for Data Privacy

10/12/2020
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak speaks with Chair of the Privacy & Cybersecurity Practice at Mintz, Cynthia Larose to continue Cybersecurity Awareness Month. The California Consumer Privacy Act, or CCPA, is the first law in the US to set up a comprehensive set of rules around consumer data, akin to the European Union’s General Data Protection Regulation, or GDPR. Since going into effect, industry and privacy advocates have been battling over the fine print. Is...

Duration:00:22:46

Hold Your Position: The Automation & Optimization of Position Limit Monitoring

10/5/2020
In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Product Manager Brian DeDonato to talk about the complexities of position limit monitoring. The position limits duo provide a detailed overview of who sets position limits globally before delving deeper into the various limit types, data requirements for position aggregation and adjustments, and how best to track spot effective periods and step down limits.

Duration:00:20:38

Trust the Process: Risk Mitigation via Business Verification

9/28/2020
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak speaks with Detected CEO Liam Chennells to kick off Cybersecurity Awareness Month. Taking cues from the world of RegTech, B2B marketplaces, supply chain and logistics sectors have uncovered why due diligence processes, business verification and data governance are critical to ensuring the entities you’re doing business with pose no threats to your organization, brand reputation or to your clients.

Duration:00:17:32

Buy vs. Build: How Managed Services Turn Compliance into a Strategic Advantage

9/21/2020
In this episode, Chief Client Officer at CSS, Jac Dunne joins Natalie Silverman to discuss why more investment management firms are looking to managed services to do more with less and conserve strategic resources. Keeping up with the pace of regulatory change has also pushed compliance teams to consider whether it is more efficient to buy vs. build.

Duration:00:16:31

Compliance-as-a-Service: RegTech, Data and Managed Services

9/14/2020
In this episode, Managing Director in Accenture’s Risk Practice, Dr. Rafael Gomes joins Natalie Silverman to discuss Compliance-as-a-Service – an innovative and proactive framework that enables compliance teams to move from a tactical to strategic approach to regulatory compliance via technology, centralized data, managed services and access to regulatory expertise.

Duration:00:20:48

Regulatory Soup – from UCITS KIID to PRIIPs KID

9/7/2020
In this episode, Chief Product Officer of CSS, Ronan Brennan joins Natalie Silverman to discuss cross-border complexities from the transition many investment managers are preparing to make in the coming year from the UCITS KIID to PRIIPs KID regime.

Duration:00:15:12

A Retrospective on Form CRS & Reg BI and Regulator Insights

8/31/2020
In this episode, CSS’s Co-Executive Directors of Compliance Services, Keith Marks and Jackie Hallihan walk through a retrospective of Form CRS and Reg BI now that the June deadline has passed. They also discuss compliance best practices that are emerging in this COVID environment from changes in training, process and operations, to working with regulators and how firms have fared with regulatory examinations.

Duration:00:19:37