The Securities Compliance Podcast: Compliance In Context
Patrick HayesMeet Patrick Hayes, investment management counsel at Calfee, Halter & Griswold and your host for The Securities Compliance Podcast presented by the National Society of Compliance Professionals. A personal master class for the securities legal and compliance professional, Patrick’s passion is to help you put Compliance In Context™ by combining the technical expertise of industry thought leaders and... more
| Publishes | Monthly | Episodes | 80 | Founded | 6 years ago |
|---|---|---|---|---|---|
| Number of Listeners | Categories | EducationSelf-ImprovementBusiness | |||
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Latest Episodes
Welcome back to the Compliance In Context podcast! On today’s show, we discuss how to build a culture of compliance in AI world and some best practices firms are using now to build AI into their respective operations and compliance programs. In our H... more
Welcome back to the Compliance In Context podcast! On today’s show, we discuss the FINRA Forward initiative and review some of the recent FINRA rulemaking activity in areas like outside business activities, personal securities transactions, gifts and... more
Welcome back to the Compliance In Context podcast! On today’s show, we will be diving into the SEC Enforcement Manual, and more specifically, to some of the recent amendments that were made and what it tells us about the state of SEC Enforcement righ... more
Welcome back to the Compliance In Context podcast! On today’s show, we will be taking an in-depth look at two of the hottest areas in the investment management space, namely—tokenization and crypto. To help guide us through the conversation, we are v... more
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- Excellent Podcast! Congratulations to Mr. Hayes! I look forward to many more like
Thanks again!!
Apple Podcasts5Mahendra S. Rathore
United States4 years ago - Excellent content!
Great podcast covering wide range of securities topics. Guests are interesting and relevant
Apple Podcasts5GW2021United States5 years ago - A must for any compliance professional
Interesting topics summarised well topped with knowledgeable interviewees make this worth to listen to on a regular basis.
Apple Podcasts5kathy-nyc
Germany5 years ago - Impressive!
Patrick does a great job of explaining some tough materiel concisely and with ease. I imagine his podcast will have a very big audience very soon!
Apple Podcasts5UsbqbcosUnited States6 years ago - Quality and Interesting Content
Patrick keeps the content entertaining and informative at the same time. This show will revolutionize the industry. It’s a must listen for me!
Apple Podcasts5SB_5United States6 years ago
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Frequently Asked Questions About This Podcast
What is This Podcast about and what kind of topics does it cover?
Focused on the intricate world of securities regulation and compliance, this podcast serves as a vital resource for professionals navigating the complexities of this often opaque industry. The host engages with a variety of experts who share insights on topics ranging from cryptocurrency regulations and marketing rules to compliance strategies and the evolving landscape of investment management. Unique in its approach, the discussions not only highlight current compliance challenges but also provide actionable advice and real-world applications that help listeners enhance their understanding and efficacy in compliance roles. The blend of technical expertise and practical experience makes it an invaluable tool for any compliance professional... more
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Which podcasts are similar to this podcast?
These podcasts share a similar audience with this podcast:
1. Asset Management Corner
2. Up First from NPR
3. The Diary Of A CEO with Steven Bartlett
4. The Daily
5. On Being with Krista Tippett
How many episodes of this podcast are there?
this podcast launched 6 years ago and published 80 episodes to date. You can find more information about this podcast including rankings, audience demographics and engagement in our podcast database.
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What guests have appeared on this podcast?
Recent guests on this podcast include:
1. Erik Olsen
2. Ed Wegener
3. Brian Rubin
4. Ellen Connell
5. Fizza Khan
6. Jeff Blumberg
7. Chris Mulligan
8. Kristin Snyder
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