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Securities Compliance Podcast: Compliance in Context

The ninth episode of the Securities Compliance Podcast: Compliance in Context  discusses the recently adopted amendments to the Investment Adviser Marketing Rule and a new statement from the SEC alerting investors to a rising number of investment scams.

For the interview segment, host Patrick D. Hayes welcomes in former NSCP Chair and teleworking compliance expert Craig Watanabe to do a deep dive on how firms can best prepare their compliance programs for the increase in teleworking and the types of supervision, cybersecurity, and data privacy issues that are involved there.

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Episode 9 Topics:


  • SEC Alerts Investors to Rising Number of Investment Scams

  • SEC Adopts Amendments to Investment Adviser Marketing Rule


  • Review the trend toward decentralization and the impact of the pandemic

  • Compliance challenges that teleworking introduced

  • Fortress versus endpoint security model and teleworking cybersecurity

  • Other tips and recommendations for teleworking cybersecurity

  • Best practices for handling remote supervision

  • Review of regulatory guidance for remote audits

What's On My Mind

  • Groundhog Day, déjà vu, and the new DOL Prohibited Transaction Exemption for Investment Advice Fiduciaries


“And of course, our industry is no exception. We are seeing strong trends toward decentralization, which were evident as you mentioned, prior to the pandemic, but I think just got a huge kick forward with the pandemic and what I think is interesting is most experts believe that this trend will have a residual impact. In other words, when this pandemic is ultimately over, we probably will not go all the way back to baseline, pre-pandemic levels.”

“And so the evolution that we are seeing is, we're seeing cybersecurity evolve from a fortress model to an endpoint security model.” 

“...Going over and above and being a great compliance department, I think that was all part and parcel of that idea of being not just a good compliance department, but being a great compliance department.”

Podcast Episode 9

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.

Media Contact

Susan M. Kurz
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216.622.8346 (office)
513.502.8950 (mobile)

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