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Securities Compliance Podcast: Compliance in Context
10.19.2020

The second episode of the Securities Compliance Podcast: Compliance in Context™ features "What's New at OCIE."

At the start of each episode, host Patrick D. Hayes covers some of the “hottest” compliance topics of the day, focusing on the news and noteworthy events that impact your firm’s compliance program. This episode reviews the impact of the new accredited investor rule and some recent risk alerts focusing on cybersecurity.

The second segment of each show will take the master class to the next level and feature an expert guest to do a deep dive on a significant topic affecting our industry. In this episode, Patrick speaks with Natasha Greiner, the Associate Director of the IA/IC Examination Program within the SEC’s Office of Compliance Inspections and Examinations. They discuss her work and the current state of the OCIE.

The final segment of this episode will launch the Outtakes series. If compliance were a TV show, think of this is as the bloopers reel, where Patrick looks at humorous activities carried out at financial services firms that hopefully provide us all with a roadmap of what not to do inside our firms and our compliance programs.

Please tune in and subscribe for future episodes at ComplianceInContextPodcast.com.


Episode 2 Topics:

Headlines

  • SEC expanding definitions of accredited investors.
  • Combating cybersecurity threats.

Interview

  • How OCIE has managed to remain fully operational.
  • Conducting outreach despite the pandemic.
  • Natasha’s work history and its impact on her current role.
  • What’s next for OCIE?
  • How Natasha and her family are handling quarantine.

Outtakes

  • Text messages and how to avoid violations of recordkeeping rules.




About the Securities Compliance Podcast: Compliance in Context

Introducing the Securities Compliance Podcast, "Compliance in Context" presented by Calfee, Halter & Griswold and the National Society of Compliance Professionals and hosted by Patrick D. Hayes, Senior Counsel and leader of Calfee's Investment Management practice.

Designed as a personal master class for the securities legal and compliance professional, this podcast embodies Patrick’s passion to help you 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.

Listeners will find the podcast on Apple Podcast, Google Podcast, Spotify and Stitcher.


The opinions expressed by guest speakers and panelists during Securities Compliance Podcasts may not necessarily reflect the viewpoints of the attorneys and professionals of Calfee, Halter & Griswold LLP or its subsidiaries or affiliates. Calfee’s educational content is intended to inform and educate readers about legal developments and is not intended as legal advice for any specific individual or specific situation. Please consult with your attorney regarding any legal questions you may have. With regard to all content including case studies or descriptions, past outcomes do not predict future results.


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Media Contact

Susan M. Kurz
Chief Marketing & Client Development Officer
skurz@calfee.com
216.622.8346 (office)
513.502.8950 (mobile)

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