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Securities Compliance Podcast: Compliance in Context
10.19.2020

In the fourth episode of the Securities Compliance Podcast: Compliance in Context™, host Patrick D. Hayes covers the SEC's new rule proposal regarding private issuers and raising capital as well as recent criticism to the amendments for Form 13F. 

Patrick also speaks with Chuck Senatore regarding the importance of FinTech and RegTech in the financial services industry and in your firm’s compliance program. Chuck is a board member and adviser to an assortment of FinTech, RegTech and cryptocurrency companies. He currently teaches a course on compliance and regulatory strategy at the University of Chicago Law School and is the Founder of the Boston RegTech Meetup.

At the end of the show, Patrick launches the History Has Your Back series by reviewing the keynote address during the 2016 NSCP National Conference to foreshadow the importance of FinTech/RegTech in the investment management industry.

Tune in and subscribe for future episodes at ComplianceInContextPodcast.

Episode 4 Topics:

Headlines

  • SEC proposes exemption from broker-dealer registration for small finders
  • Amendments to Form 13F reporting requirements

Interview

  • Machine learning and impact of AI in financial services
  • Harnessing technology for better insight and outcomes of compliance testing
  • Blockchain and its impact on future examinations

History Has Your Back

  • How important is FinTech/RegTech to the regulators? We go back in time to look at the National Society of Compliance Professionals 2016 National Conference keynote address by Marc Wyatt, Acting Director of the OC.

Quotes

  • “And to the extent that you can harness the technology to bring greater insight, the more ability you have to kind of avoid the wasted time of running down ratholes to determine whether something is a false positive or not.”

  • “While you don’t necessarily need to be a data scientist, having a working knowledge of this space and how you can best leverage data is really important.”





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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