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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

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

    2 weeks ago

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

    2 months ago

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

    3 months ago

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

    4 months ago

  • S5:E5 | Building a Third-Party Due Diligence Program | Compliance in Context

    5 months ago

  • S5:E4 | Analyzing FINRA Remote Supervision | Compliance in Context

    6 months ago

  • S5:E3 | Breaking Down The “New” DOL Fiduciary Rule – Lessons From The Front Lines | Compliance In Context

    6 months ago

  • S5:E2 | The CCO’s Toolkit | Compliance in Context

    7 months ago

  • S5:E1 | The State of the Investment Adviser Industry | Compliance In Context

    8 months ago

  • S4:E14 | The Impact of Data on Compliance Part II | Compliance In Context

    9 months ago