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Securities Compliance Podcast: Compliance in Context
12.23.2020

The eighth episode of the Securities Compliance Podcast: Compliance in Context discusses Stephanie Avakian’s departure from the SEC, updates on the proposed marketing and advertising rules, very interesting investment advisor metrics, and some new changes coming to New York state.

For the interview segment, host Patrick D. Hayes welcomes Michelle Canela and Hope Brown. They dive into diversity, equity, and inclusion in the financial services industry and also discuss the importance of mentors and mentorship.

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

Episode 8 Topics:

Headlines

  • Stephanie Avakian steps down from the SEC’s Division of Enforcement.

  • The SEC punts on discussing the proposed advertising and cash solicitation rules

  • Reviewing the IAA/NRS Evolution Revolution Report.

  • Updates to the New York State’s IAR rules

Interview

  • Defining and distinguishing diversity, equity, and inclusion.

  • Ways to implement these concepts inside your organization.

  • How compliance professionals can take on issues of diversity and inclusion.

  • The importance of mentorship and sponsorship in the workplace.

  • NSCP diversity and inclusion efforts and other 2021 activities

History Has Your Back 

  • Mentors create environments of trust and safety, stimulating development both personally and professionally.

  • Elevate yourself and your firm by connecting with others to become a mentor or mentee

  • As a tribute to mentors everywhere, a review of Rudyard Kipling’s poem,

Quotes

“Well, first and foremost, I really believe that in order to effectuate change, you should change yourself first.”

“I think that mentors and sponsors are both critical to the success of any professional, and in our particular case, compliance professionals. I think, in particular, for women and for people of color, who typically have fewer interactions with leaders within financial services organizations.”

Podcast Episode 8



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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