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A CSS RegTech podcast series on moving from a tactical to strategic approach to regulatory compliance. The global regulatory space is complex and fragmented. Financial firms can address this problem through tactical responses to regulatory deadlines or think more strategically on how to optimize their compliance data, operations and technology. The Compliance Solutions Strategies weekly podcast features regulatory experts, former Chief Compliance Officers, cybersecurity specialists, industry partners and RegTech collaborators to help prepare investment management firms for changes on the regulatory horizon.
Further podcasts by CSS (Compliance Solutions Strategies)
Podcast on the topic Technologie
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Brexit: Deal or No Deal? from 2021-01-31T22:10:42.023393
In this special Brexit episode, CSS’s Chief Product Officer Ronan Brennan sits down with the authority on global financial services legislation and Vice Chair of Financial Services at KPMG UK, Dr. ...
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California Love for Data Privacy from 2021-01-31T22:10:42.023393
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak speaks with Chair of the Privacy & Cybersecurity Practice at Mintz, Cynthia Larose to continue Cybersecurity Awareness Month. The Cal...
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Hold Your Position – The Automation & Optimization of Position Limit Monitoring from 2021-01-31T22:10:42.023393
In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Product Manager Brian DeDonato to talk about the complexities of position limit monitoring. The position limits duo provide...
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Trust the Process: Risk Mitigation via Business Verification from 2021-01-31T22:10:42.023393
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak speaks with Detected CEO Liam Chennells to kick off Cybersecurity Awareness Month. Taking cues from the world of RegTech, B2B marketp...
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Buy vs. Build: How Managed Services Turn Compliance into a Strategic Advantage from 2021-01-31T22:10:42.023393
In this episode, Chief Client Officer at CSS, Jac Dunne joins Natalie Silverman to discuss why more investment management firms are looking to managed services to do more with less and conserve str...
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Compliance-as-a-Service: RegTech, Data and Managed Services from 2021-01-31T22:10:42.023393
In this episode, Managing Director in Accenture’s Risk Practice, Dr. Rafael Gomes joins Natalie Silverman to discuss Compliance-as-a-Service – an innovative and proactive framework that enables com...
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Regulatory Soup – from UCITS KIID to PRIIPs KID from 2021-01-31T22:10:42.023393
In this episode, Chief Product Officer of CSS, Ronan Brennan joins Natalie Silverman to discuss cross-border complexities from the transition many investment managers are preparing to make in the c...
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A Retrospective on Form CRS & Reg BI and Regulator Insights from 2021-01-31T22:10:42.023393
In this episode, CSS’s Co-Executive Directors of Compliance Services, Keith Marks and Jackie Hallihan walk through a retrospective of Form CRS and Reg BI now that the June deadline has passed. They...
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How the Ghosts of Transaction Reporting Past Guide the Regulatory Future State from 2021-01-31T22:10:42.023393
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup and regulatory expert and Founder of Laurellis Associates, Nik Volpe take a trip down memory lane to discuss ...
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Data Management and a Regulatory Book of Record from 2021-01-31T22:10:42.023393
In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Product Officer Ronan Brennan to talk about fragmented data sourcing, processes and technologies and how firms c...
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The Art of Data, Innovation & Adapting to Change from 2021-01-31T22:10:42.023393
In this episode, the founder and CEO of COMBINER and previous curator at the Nobel Prize Museum Tobias Degsell joins Natalie Silverman to discuss innovation, collaboration and inspiring teams to th...
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Compliance Culture in a Bottle from 2021-01-31T22:10:42.023393
In this episode, former Chief Compliance Officer and CSS’s Compliance Consultant Victoria Olson joins Natalie Silverman to discuss how CCOs can embed a culture of compliance into an organization to...
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Nobody Puts Compliance in a Corner from 2021-01-31T22:10:42.023393
In this episode, former Chief Compliance Officer and CSS’s Senior Consultant Dan Haynes joins Natalie Silverman to discuss how a CCO can earn a seat at the executive table and ways compliance teams...
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Business Resilience & Regulatory Exams from 2021-01-31T22:10:42.023393
In this episode, former Chief Compliance Officer and CSS’s Director of Retail Wealth Manager Services Korrine Kohm joins Natalie Silverman to discuss business resiliency, and how compliance teams n...
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The Dark Side of Cybersecurity & BCP from 2021-01-31T22:10:42.023393
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak joins Natalie Silverman to discuss everything from hackers and the dark web to how COVID-19 has reminded financial firms of the impor...
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Iceberg Ahead: Navigating Regulatory Change from 2021-01-31T22:10:42.023393
In this episode, former Chief Compliance Officer and CSS’s Senior Consultant Ariana Monchick joins Natalie Silverman to talk about the biggest challenge facing CCOs today – regulatory change. With ...
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Risky Business: Compliance & Market Volatility from 2021-01-31T22:10:42.023393
In this episode, former Chief Compliance Officer and CSS’s Director of Institutional Wealth Manager Services Matt Calabro joins Natalie Silverman to discuss how investment managers are identifying ...
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Q4 Regulatory Reporting Milestones – SFTR and CME/NEX Abide and Brexit, Oh My! from 2021-01-31T22:10:42.023393
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Head of Business Development at REGIS-TR Nick Bruce to talk about the world of transaction rep...
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For CCOs, By CCOs: Assessing Your Compliance Program from 2021-01-31T22:10:42.023393
In this episode, former Chief Compliance Officer and CSS’s Director of Registered Investment Companies Allison Fraser joins Natalie Silverman to discuss the evolving role of today’s Chief Complianc...
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Short Selling Restrictions - Staying Ahead of the Regulatory Curve from 2021-01-31T22:10:42.023393
In this episode, CSS’s Regulatory Compliance Expert Greg Hotaling and Product Manager Mike Marmo discuss the market disruption due to COVID-19, periodic short selling bans and reduced thresholds th...
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Monitoring the Fast-Changing Sensitive Industries Landscape from 2021-01-31T22:10:42.023393
In this episode, CSS’s EU Regulatory Counsel Marye Cherry and Regulatory Compliance Expert Greg Hotaling discuss the complexities around sensitive industries, the recent changes to rules and the im...
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Moving from a Tactical to a Strategic Approach to Regulatory Compliance from 2021-01-31T22:10:42.023393
In this episode, CSS’s President and Founder John Lee joins CMO Natalie Silverman to discuss moving from a tactical to strategic approach to regulatory compliance and the challenges the market is f...
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Moving from a Tactical to a Strategic Approach to Regulatory Compliance from 2020-06-15T13:00
In this episode, CSS’s President and Founder John Lee joins CMO Natalie Silverman to discuss moving from a tactical to strategic approach to regulatory compliance and the challenges the market i...
Listen
Moving from a Tactical to a Strategic Approach to Regulatory Compliance from 2020-06-15T13:00
In this episode, CSS’s President and Founder John Lee joins CMO Natalie Silverman to discuss moving from a tactical to strategic approach to regulatory compliance and the challenges the market i...
Listen