Coffee & Regs

In this episode, our team of private funds experts, John Gentile, Eugenie Warner and Adam DiPaolo, discuss how private funds will be affected by the new Marketing Rule and how they can start preparing for implementation now. 

In this episode, our team of former CCOs, Dan Haynes and Victoria Olson discuss why a code of ethics tool is not only beneficial to compliance but to employees and to stay on the SEC’s good side for upcoming exams.

In this episode, CSS’s Director of Cyber IT Services, E.J. Yerzak sits down with Co-Founder and COO of TerraTrue, Chris Handman to discuss data privacy and how compliance can keep up with the ambitions of product teams by building data privacy controls into the product development lifecycle.

In this episode, our team of global transaction reporting experts, Alexis Wiazmitinoff and Nicklas Nilsson discuss changes coming to EMIR REFIT in 2023 and beyond. With the markets moving towards a harmonization of data elements across regulations,  how will that provide regulators with a more complete and holistic view of OTC derivatives and improve operational efficiency for financial firms?

In this episode, our team of cybersecurity experts, E.J. Yerzak and Mike Farrell discuss the latest ransomware attacks in the news, best practices to keep your data secure and hackers out, and what to do first if your firm is hit by an attack.

In this episode, former CCOs Korrine Kohm and Ariana Monchick discuss compliance management and how to expand and optimize your program leveraging tools, technology and outsourced compliance services.  

In this episode, CSS’s Director of Broker-Dealer Services and Private Funds John Gentile sits down with Chief Executive Officer & Chief Investment Officer of Off the Chain Capital, Brian Estes to discuss the world of cryptocurrency and Bitcoin. Is this investing or gambling, is it an asset class, and why should investment advisers and broker-dealers be thinking about adding digital assets to their clients’ portfolios?

In this episode, CSS’s former CCOs Allison Fraser and Matt Calabro sit down to discuss trade surveillance and how CCOs can mitigate the risk factors through the trade lifecycle – from pre-trade to trade execution and post-trade. They’ll also dive into how compliance together with operations and third parties can build out a robust and automated trade surveillance program. 

In this episode, CSS’s Regulatory Content Manager Greg Hotaling sits down with Head of Product for CSS’s Investment Monitoring solution, Mike Marmo to discuss position limit changes coming soon in the U.S. and EU and how pre-trade monitoring is becoming a must-have for investment managers. 

In this episode, CSS’s Director of Registered Investment Company Services Allison Fraser sits down with Partner at Morgan Lewis, Laura Flores to discuss the SEC regulatory framework for derivatives use with the new 18f-4 Rule. Even though compliance plans do not have to be fully implemented until August 2022, fund managers need to start preparing now for a compliant derivatives risk management program, calculating daily value-at-risk (VaR) measurements and performing stress tests.