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 | 74 | Founded | 5 years ago |
|---|---|---|---|---|---|
| Number of Listeners | Categories | Self-ImprovementEducationBusiness | |||
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Latest Episodes
Welcome back to the Compliance In Context podcast! On today’s show, we will be providing a comprehensive, deep-dive look at SEC Enforcement over the last twelve months—including the real story behind some of the recent numbers, distinct areas of focu... more
Welcome back to the Compliance In Context podcast! On today’s show, we will be focusing on the impact of mentorship on compliance, and how as mentors and mentees, we can become the best version of our compliance-selves. To help guide us through the ... more
Welcome back to the Compliance In Context podcast! on today’s show, we will be tackling one of the most significant topics being discussed so far in all of 2025, namely cryptoassets and the SEC’s Crypto Task Force. To help guide us through the conve... more
Welcome back to the Compliance In Context podcast! On today’s show, on today’s show, we will be taking a topic known all too well by those in the compliance space, namely maximizing your compliance resources, doing less with more, and getting the mos... 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 States4 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 States5 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 States5 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 compliance, the discussions provide insights, strategies, and updates related to the regulatory landscape that finance professionals navigate. The episodes often feature industry experts and leaders who bring practical experiences and advice for compliance professionals, tackling topics ranging from SEC regulations and cryptocurrency to compliance resource maximization and best practices in investment management. What sets this apart is its emphasis on putting compliance in context, notably through engaging conversations and valuable guest insights that facilitate understanding of complex compliance issues in the fast-evolving financial sector.
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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. Animal Spirits Podcast
3. The Compound and Friends
4. The Prof G Pod with Scott Galloway
5. Deep Questions with Cal Newport
How many episodes of this podcast are there?
this podcast launched 5 years ago and published 74 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. Hester Peirce
2. Bart McDonald
3. Louis Dempsey
4. Christine Schleppergrell
5. Christopher Mulligan
6. Brian Rubin
7. Jim Lundy
8. Norm Ashkenas
To view more recent guests and their details, simply upgrade your Rephonic account. You'll also get access to a typical guest profile to help you decide if the show is worth pitching.