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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.

Coffee & Regs CSS (Compliance Solutions Strategies)

    • Technologie

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.

    EMIR REFIT & Regulatory Harmonization

    EMIR REFIT & Regulatory Harmonization

    In this episode, our team of global transaction reporting experts, Alexis Wiazmitinoff and Nicklas Nilsson discuss changes coming to EMIR REFIT in 2022 and beyond. With the markets moving towards a harmonization of data elements across regulations,  how will that provide regulators with a more complete and holistic view of OTC derivatives and improve operational efficiency for financial firms?

    • 15 Min.
    Ransomware Attacks – Cybersecurity Concerns & Best Practices to Mitigate Risk

    Ransomware Attacks – Cybersecurity Concerns & Best Practices to Mitigate Risk

    In this episode, our team of cybersecurity experts, E.J. Yerzak and Mike Farrell discuss the latest ransomware attacks in the news, best practices to keep your data secure and hackers out, and what to do first if your firm is hit by an attack.

    • 17 Min.
    Why Outsourced Compliance is No Longer a Dirty Word

    Why Outsourced Compliance is No Longer a Dirty Word

    In this episode, former CCOs Korrine Kohm and Ariana Monchick discuss compliance management and how to expand and optimize your program leveraging tools, technology and outsourced compliance services.  

    • 16 Min.
    Betting on Bitcoin: Cryptocurrency & Digital Assets 101 for Investment Managers

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

    In this episode, CSS’s Director of Broker-Dealer Services and Private Funds John Gentile sits down with Chief Executive Officer & Chief Investment Officer of Off the Chain Capital, Brian Estes to discuss the world of cryptocurrency and Bitcoin. Is this investing or gambling, is it an asset class, and why should investment advisers and broker-dealers be thinking about adding digital assets to their clients’ portfolios?

    • 16 Min.
    Expanding Your Compliance Program Through Trade Surveillance

    Expanding Your Compliance Program Through Trade Surveillance

    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. 

    • 15 Min.
    Keeping Pace with Position Limits & Pre-Trade Monitoring

    Keeping Pace with Position Limits & Pre-Trade Monitoring

    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. 

    • 23 Min.

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