Compliance & Regulation

Compliance in Context

The ’Securities Compliance Podcast’ connects thought-leaders with the investment advisory channel

The law firm of Calfee, Halter & Griswold announces its new podcast, The Securities Compliance Podcast: Compliance in Context™. Access the series here.

October 21, 2020 — CINCINNATI–(BUSINESS WIRE)–Calfee, Halter & Griswold LLP announced today that Patrick D. Hayes, Senior Counsel and leader of the law firm’s Investment Management practice, has launched The Securities Compliance Podcast: Compliance in Context, co-sponsored by Calfee and the National Society of Compliance Professionals, a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry.

Hayes, an experienced attorney who counsels registered investment advisers and other financial professionals on managing and directing the effective integration of the Securities Act, Exchange Act, Investment Company Act and Advisers Act into his clients’ compliance programs, designed the podcast as a personal master class for the securities industry’s legal and compliance professionals.

“The goal of the podcast series is to put Compliance In Context by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision makers,” said Hayes, who serves on the board of directors for the NSCP and co-chairs its Publications Committee.

The first segment of each episode covers the provocative and trending compliance topics of the day, and the second segment features an expert guest participating in a deep-dive discussion of a significant topic affecting the industry. The final segment of each episode will feature one of four unique recurring series, including comical stories in the investment management industry and new regulatory guidance on controversial issues.

Digging Deeper Into Financial Services Compliance

“NSCP is pleased to co-sponsor The Securities Compliance Podcast: Compliance in Context. The podcast provides an additional medium for those interested in delving deeper into the practical aspects of financial services compliance topics and receiving guidance on current regulatory issues from some of the industry’s leading professionals,” said Lisa D. Crossley, Executive Director of NSCP.

Episode 1, “Introducing Your Personal Master Class,” provides an introduction and origin story to the podcast.

Episode 2, “What’s New at OCIE?” features guest Natasha Greiner, the Associate Director of the IA/IC Examination Program, SEC Office of Compliance Inspections and Examinations. Hayes begins the segment with a review of the impact of the new accredited investor rule and some recent risk alerts focusing on cybersecurity. Then Greiner and Hayes discuss her work and the current state of the OCIE. The final segment launches the Outtakes series, looking at humorous activities carried out at financial services firms to serve as a roadmap of what not to do with compliance program operations.

Episode 3, “The New DOL Fiduciary Rule,” covers the breaking developments on the whistleblower front and new trends in SEC enforcement. Hayes speaks with ERISA expert, David Kaleda, Principal at Groom Law Group, to discuss the latest developments with the new DOL Fiduciary Rule and its impact on the investment management industry. The final segment features the What’s On My Mind series providing a nuanced take on a contemporary issue affecting the investment management segment; this episode covers the often confusing area of environmental, social and corporate governance (ESG) disclosures.

The goal of the podcast series is to put Compliance In Context by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision makers...

Episode 4, “How FinTech and RegTech Impact Compliance,” covers the SEC’s new rule proposal regarding private issuers and raising capital as well as the recent criticism to the amendments to Form 13F. Hayes speaks with Chuck Senatore on the importance of FinTech and RegTech in the financial services industry and compliance programs. Senatore is the founder of the Boston RegTech Meetup and adviser to numerous FinTech, RegTech and cryptocurrency companies; he also teaches a course on compliance and regulatory strategy at the University of Chicago Law School. The final segment launches the History Has Your Back series by reviewing the keynote address from the 2016 NSCP National Conference to foreshadow the importance of FinTech/RegTech in the investment management industry.

Additional information and episodes are available at ComplianceInContextPodcast.com. Listeners will find the podcast on Apple Podcast, Google Podcast, Spotify and Stitcher. Future episodes feature the top minds of the investment management industry, including:

  • Bruce Karpati, Global Chief Compliance Officer and Partner, KKR & Co. Inc.; formerly the National Chief, Asset Management Unit, SEC Enforcement Division
  • Robert Kaplan, Partner, Debevoise & Plimpton; formerly Co-Chief, SEC Asset Management Unit
  • Brian Rubin, Partner and Washington, D.C. Office Litigation Leader, Eversheds Sutherland; formerly Deputy Chief Counsel, FINRA Enforcement and Senior Counsel, SEC Enforcement Division
  • Miriam Lefkowitz, Principal, The Law Office of Miriam Lefkowitz; formerly Senior Counsel, SEC Enforcement Division.

 

 

 

About the National Society Of Comnpliance Professionals
The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry. NSCP is for compliance, by compliance. NSCP membership provides financial services compliance professionals with a wide range of resources including a community of like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests. Over 30 years since its inception, NSCP has grown to 2,000+ members with a plethora of educational offerings and networking opportunities for its members. Additional information is available at NSCP.org.
About Calfee, Halter & Griswold LLP
Calfee, Halter & Griswold LLP is a full-service corporate law firm with more than 160 attorneys and offices in Cleveland, Columbus, Cincinnati, Indianapolis, New York and Washington, D.C. Calfee has been recognized as a leading law firm by Chambers USA in Banking and Finance, Corporate/M&A, Employee Benefits and Executive Compensation, General Commercial Litigation, Intellectual Property, Labor and Employment, and Real Estate and by Chambers HNW in Private Wealth Law. The firm serves clients in the Midwest, nationally and globally in the areas of Business Restructuring and Insolvency, Commercial and Public Finance, Corporate and Capital Markets, Employee Benefits and Executive Compensation, Estate and Succession Planning and Administration, Government Relations and Legislation, Intellectual Property, Labor and Employment, Litigation, Public Utility Regulatory, and Real Estate as well as through its consultancy, Calfee Strategic Solutions. A founding member of Lex Mundi, Calfee offers international representation through a network of independent law firms with access to 22,000 attorneys located in more than 125 countries. Additional information is available at Calfee.com.

 

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