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Securities Compliance Podcast: Compliance in Context

On episode one of season two of the Securities Compliance Podcast: Compliance in Context , host Patrick D. Hayes discussed a recent report from the Congressional Research Service looking at the SEC’s current guidance on ESG and help break down an incredibly challenging couple months in this area.

For the interview segment, Patrick welcomed in New York City Attorney and compliance expert, Richard Chen. Together they discussed the practical tilt of running an effective compliance program and how compliance officers can be more productive.

Please tune in and subscribe for future episodes at

Season 2, Episode 1 Topics:


  • CRS Reviews SEC Disclosure Policy and Practice on Climate Risk

  • Recent Timeline of SEC statements regarding ESG

  • Future state of ESG and avoiding regulation by enforcement


  • Setting priorities using the Eisenhower principle.

  • Compliance calendars and time management.

  • Identifying the Proper Allocation of Resources:

  • Automation and the use of technology

  • Cutting and delegating compliance responsibilities

  • Collaborating with firm leadership and other business units

  • How CCOs can protect themselves

  • Fostering a culture of compliance within your organization

History Has Your Back

  • Pitfalls in the dating life of Warren Buffett

  • Navigating the separation between work and personal life


““I think that one of the helpful frameworks I use is called the Eisenhower Principle, which categorizes tasks based on whether they’re important or urgent.”

“...As compliance professionals, we are collaborative. We all want to get to the same place and so, it’s important for us to each put in what we know best about what’s going on, in order to perform effectively.”

Podcast Season 2 Episode 1

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
Chief Marketing & Client Development Officer
216.622.8346 (office)
513.502.8950 (mobile)

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