Cincinnati, January 19, 2021 – Hester M. Peirce, Commissioner with the Securities and Exchange Commission, was interviewed on Episode 10 of The Securities Compliance Podcast: Compliance in Context™, a podcast series co-sponsored by Calfee, Halter & Griswold LLP and the National Society of Compliance Professionals and hosted by Patrick D. Hayes, Senior Counsel and leader of Calfee’s Investment Management practice.
Peirce spoke in-depth on a variety of topics such as Chief Compliance Officer (CCO) liability, outsourced CCOs, the new Marketing Rule, and cryptocurrencies. She also spoke about the new presidential administration, which will bring in a new SEC Chair and Head of Enforcement, and whether she anticipates a slowdown in dialogue between the regulators and the industry on the issue of CCO liability.
The Securities Compliance Podcast: Compliance in Context is designed as a personal master class for the securities industry’s legal and compliance professionals. The podcast embodies Hayes’ passion for combining the technical expertise shared by industry thought leaders and innovators with the practical experience of industry professionals and key decision makers.
The full episode featuring SEC Commissioner Peirce’s interview is now available: The Securities Compliance Podcast: Compliance in Context.
Listeners will find the podcast on Apple Podcast, Google Podcast, Spotify, and Stitcher.
ABOUT NATIONAL SOCIETY OF COMPLIANCE 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, Corporate and Finance, 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.
Susan M. Kurz
Chief Marketing & Client Development Officer