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The Securities Compliance Podcast: Compliance In Context

The Securities Compliance Podcast: Compliance In Context

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Meet Patrick Hayes, investment management counsel at Calfee, Halter & Griswold and your host for The Securities Compliance Podcast presented by the National Society of Compliance Professionals. A personal master class for the securities legal and compliance professional, Patrick’s passion is 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. Listen today to help elevate your firm’s compliance program and take your career to new heights.

Recent Episodes

  • S6:E1 | Maximizing Your Compliance Resources | Compliance In Context

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  • S5:E14 | SEC Marketing Rule FAQs | Compliance In Context

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  • S5:E13 | Compliance Grab Bag! | Compliance In Context

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  • S5:E12 | Key Takeaways From The 2024 SEC Enforcement Results - Lessons From The Front Lines | Compliance In Context

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  • S5:E11 | Effective Strategies For Building Your Compliance Team | Compliance In Context

    6 months ago

  • S5:E10 | What's Happening in Crypto and the Impact of a New Administration | Compliance In Context

    7 months ago

  • S5:E9 | DOL Fiduciary Rule Update – Where Are We Now and Best Practices for Retirement Investors – Lessons From The Front Lines | Compliance In Context

    9 months ago

  • S5:E8 | PFAR Takes a Vacation and No More Chevron – Lessons From The Front Lines | Compliance In Context

    11 months ago

  • S5:E7 | Reviewing the FinCEN AML Rule Proposal | Compliance in Context

    11 months ago

  • S5:E6 | The Evolution of Compliance at the NSCP | Compliance in Context

    1 year ago