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Securities Compliance Podcast: Compliance in Context

The 13th episode of the Securities Compliance Podcast: Compliance in Context discusses recent remarks from SEC Commissioner Peirce regarding the Game Stop situation and how it might impact the industry moving forward, as well as a warning from securities regulators to help raise awareness about the threats of social isolation and investment fraud.

For the interview segment, host Patrick D. Hayes welcomes in former NSCP Board Member Rob Tull for an in-depth conversation focusing on the stress and demands inherent in being a legal and compliance professional that can lead to personal and career burnout, and what you can do to reclaim your sanity and energy, and even increase your creativity for problem-solving. 

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  • Commissioner Peirce Reaffirms SEC Mission to improve the way markets work and to make them work for more people in Light of GameStop

  • SEC, NASAA, FINRA raises awareness regarding social isolation and Rrsk of investment fraud


  • Demands of being a legal/compliance professional can lead to personal and career burnout

  • Understanding the causes and impact of stress

  • Managing the challenging expectations of compliance professionals.

  • The fallacy of stress

  • Stressful environments and the impact on decision making

  • Getting comfortable with risks and deep water survivors

  • Best practice recommendations to stay grounded and increasing your creativity for problem-solving

What's On My Mind

  • Newborn babies and the notion of banking sleep

  • Acclimating yourself to a stressful or challenging environment

  • Training your compliance program to perform at its best


“Stress is actually a form of a threat response.”

“Deep water survivors are the kind of people that if you were at the beach, they seem like the crazy person that swims way past out the breakers and you're just like “Where are you going? You’re going to drown.” And what I found in people that are like that is that they have an equation for risk which basically says my risk of a problem exists in the first 10 feet of water. Everything else below that is irrelevant. If I solve the top 10 feet of water I'm not drowning, so it doesn't matter how deep the water is. And so that got me thinking about in risk get so wrapped up in the details that you forget the fundamentals, which is if I do these core things at the top—and again if I just rely on compliance principles, not necessarily the specifics of the rules, but if I know my principles, and I can nail my principles down—then I shouldn't have to worry about how deep the risk is, if I can do the basics, I will survive.  It might not be pretty, but I'll survive.”

“So what I found for me is when we're stressed out, we're running on depleted resources. And not only that there's a burnout factor, and it's like it's a question of “What are you willing to lose in the process of burning out?” And, we have to, we have to be willing to step out of that situation.”

Podcast Episode 13

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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Susan M. Kurz
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