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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

Expanding Your Compliance Program Through Trade Surveillance

6/21/2021
In this episode, CSS’s former CCOs Allison Fraser and Matt Calabro sit down to discuss trade surveillance and how CCOs can mitigate the risk factors through the trade lifecycle – from pre-trade to trade execution and post-trade. They’ll also dive into how compliance together with operations and third parties can build out a robust and automated trade surveillance program.

Duration:00:15:32

Keeping Pace with Position Limits & Pre-Trade Monitoring

6/14/2021
In this episode, CSS’s Regulatory Content Manager Greg Hotaling sits down with Head of Product for CSS’s Investment Monitoring solution, Mike Marmo to discuss position limit changes coming soon in the U.S. and EU and how pre-trade monitoring is becoming a must-have for investment managers.

Duration:00:23:32

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

6/7/2021
In this episode, CSS’s Director of Registered Investment Company Services Allison Fraser sits down with Partner at Morgan Lewis, Laura Flores to discuss the SEC regulatory framework for derivatives use with the new 18f-4 Rule. Even though compliance plans do not have to be fully implemented until August 2022, fund managers need to start preparing now for a compliant derivatives risk management program, calculating daily value-at-risk (VaR) measurements and performing stress tests.

Duration:00:17:54

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

5/31/2021
In this episode, CSS’s Head of ESG Marye Cherry sits down with corporate attorney at Scale LLP, Adam Johnson to discuss the evolving ESG landscape from the U.S. perspective, including the impact of the EU SFDR on U.S. asset managers and the U.S. regulatory position on ESG.

Duration:00:20:54

Private Funds 101 – From SEC Registration to Compliance Rules

5/24/2021
In this episode, CSS’s Director of Private Funds and a former SEC regulator, John Gentile sits down with Senior Vice President of Ultimus LeverPoint Private Fund Solutions, Andrew Jones to discuss the world of private fund managers. The round-robin discussion covers SEC registration to identifying as an Exempt Reporting Adviser, the impact of the new Marketing Rule on private funds and compliance best practices for fund admins.

Duration:00:23:31

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

5/17/2021
In this special episode, CSS’s Chief Revenue Officer Terence Faherty takes a break from compliance and sits down with Managing Director of Stewardship at the Expect Miracles Foundation and Founder of The SamFund, Samantha Watson to talk about a dedicated commitment of the financial services community to bring meaningful resources to research and people impacted by cancer.

Duration:00:14:05

The Facts on FINRA & Capital Acquisition Brokers

5/10/2021
In this episode, CSS’s Director of Broker-Dealer Services and a former regulator, John Gentile and Executive Director, Jackie Hallihan sit down to discuss FINRA’s rule book regarding capital acquisition brokers. These are broker-dealers that limit their business to certain capital raising, mergers and acquisitions and corporate financing activities, so before you go down that regulatory path, it’s important to understand the rules and the benefits of CAB registration.

Duration:00:11:52

New Rule Roadmap: Navigating and Implementing the Marketing Rule

5/3/2021
In this episode, former CCOs and CSS’s compliance services experts in retail and institutional wealth manager services, Korrine Kohm and Matt Calabro discuss a roadmap on navigating the new Marketing Rule, building an action plan and leveraging managed services and technology to help remove compliance complexities from the rule.

Duration:00:19:08

Managing Cyber Insurance Risk

4/26/2021
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak sits down with AVP, Program Executive at Varney Agency and cyber insurance expert, Nick Weiner to discuss the recent NYDFS guidance for insurers that underwrite cyber insurance policies. The guidance includes a Cyber Insurance Risk Framework that provides best practices for managing cyber insurance risk amid concerns of systemic and “silent” risks to the financial sector.

Duration:00:12:47

ESMA Updates, MiFIR & Transaction Reporting Trends

4/19/2021
In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Regulatory Specialist Nicklas Nilsson to discuss the latest updates from ESMA on MiFIR in the world of transaction reporting and the trend to consolidate regulatory reporting and data going forward.

Duration:00:11:29

Mastering the Marketing Rule

4/12/2021
In this episode, CSS’s Co-Executive Directors of Compliance Services Keith Marks and Jackie Hallihan sit down to discuss actionable takeaways on implementing the SEC’s new Marketing Rule for registered investment advisers within the next 18 months.

Duration:00:10:53

Preparing Now for a PRIIPs KID Project Plan

4/5/2021
In this episode, CSS’s resident document production experts Shane O’Sullivan and Charles Seigle-Goujon sit down to discuss how to prepare now for the UCITS to PRIIPs transition using best practices from the insurance industry and getting data governance procedures in place today.

Duration:00:15:05

Pension Funds & Independent Compliance Reviews

3/29/2021
In this episode, former Chief Compliance Officers Matt Calabro and Allison Fraser sit down to discuss public pension fund independent compliance reviews. Pension fund managers have an extensive due diligence process to screen potential investment advisers for their programs. Today, this due diligence goes beyond examining an investment adviser’s investment process, research and execution capabilities to also include evaluating their operational and compliance excellence and cybersecurity...

Duration:00:12:52

The Compliance Playbook for Regulatory Change

3/22/2021
In this episode, former Chief Compliance Officers Allison Fraser and Victoria Olson sit down to discuss a playbook for regulatory change. With new regulations like the Marketing Rule coming, how do compliance teams prepare, communicate changes to the business and translate regulatory requirements into operational policies and procedures?

Duration:00:14:16

For CCOs, By CCOs: Tips to Mitigate Compliance Liability

3/15/2021
In this episode, former Chief Compliance Officers Korrine Kohm and Ariana Monchick discuss CCO liability, ways to avoid enforcement and best practices for compliance teams to mitigate risk and navigate regulatory complexities.

Duration:00:17:38

RegTech in Five Years: Digitization and Datafication

3/8/2021
In this episode, CSS’s President and Founder John Lee joins Natalie Silverman to discuss what the future of RegTech looks like in five years, from innovation in machine-learning and AI from both RegTech firms and the regulators, to the digitization and datafication of financial services.

Duration:00:16:38

The ABCs of ESG Data with FactSet

3/1/2021
In this episode, CSS’s Regulatory Guidance and ESG Specialist Marye Cherry sits down with Vanessa Barnett, Senior Vice President, Global Head of Environmental, Social, and Governance at FactSet to navigate the latest news on the EU Sustainable Finance Disclosure Regulation. These experts of ESG discuss the newly released details on the RTS for Level 2 SFDR, how financial firms can manage their ESG data and the impending March 10 deadline for Level 1.

Duration:00:22:40

Around the World in 100 Jurisdictions

2/22/2021
In this episode, CSS’s Regulatory Content Manager Greg Hotaling sits down with Faye Sutherland, Head of Shareholding Disclosure of aosphere LLP to discuss the 2021 watchlist in the world of shareholding disclosure – from foreign direct investment and shareholder activism to updates on short selling restrictions.

Duration:00:31:06

Simplifying SFDR: Preparing for ESG and Level 1 & Level 2 of the EU Sustainable Finance Disclosure Regulation

2/15/2021
In this episode, CSS’s ESG experts Marye Cherry and Ronan Brennan talk about the latest developments with the EU Sustainable Finance Disclosure Regulation. The ESAs have published the much-anticipated final report and draft RTS on disclosures under the EU SFDR while there’s still the impending 10 March deadline for high-level, principles-based compliance with the Level 1 SFDR.

Duration:00:15:40

New Year, New Guidance: Setting Compliance Up for Success

2/8/2021
In this episode, CSS’s team of former Chief Compliance Officers Matt Calabro and Dan Haynes take a look at the global regulatory agenda in 2021 and provide practical tips and tricks to set compliance teams up for success.

Duration:00:14:00