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.
Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC
In this episode, our team of former CCOs, Dan Haynes and Victoria Olson discuss why a code of ethics tool is not only beneficial to compliance but to employees and to stay on the SEC’s good side for upcoming exams.
Data Privacy & Building Compliance into the Product Development Lifecycle
In this episode, CSS’s Director of Cyber IT Services, E.J. Yerzak sits down with Co-Founder and COO of TerraTrue, Chris Handman to discuss data privacy and how compliance can keep up with the ambitions of product teams by building data privacy controls into the product development lifecycle.
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?
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.
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.
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?