Coffee & Regs

In this episode, former Chief Compliance Officers Allison Fraser and Victoria Olson sit down to discuss a playbook for regulatory change. With new regulations like the Marketing Rule coming, how do compliance teams prepare, communicate changes to the business and translate regulatory requirements into operational policies and procedures?

In this episode, former Chief Compliance Officers Korrine Kohm and Ariana Monchick discuss CCO liability, ways to avoid enforcement and best practices for compliance teams to mitigate risk and navigate regulatory complexities.

In this episode, CSS’s President and Founder John Lee joins Natalie Silverman to discuss what the future of RegTech looks like in five years, from innovation in machine-learning and AI from both RegTech firms and the regulators, to the digitization and datafication of financial services. 

In this episode, CSS’s Regulatory Guidance and ESG Specialist Marye Cherry sits down with Vanessa Barnett, Senior Vice President, Global Head of Environmental, Social, and Governance at FactSet to navigate the latest news on the EU Sustainable Finance Disclosure Regulation. These experts of ESG discuss the newly released details on the RTS for Level 2 SFDR, how financial firms can manage their ESG data and the impending March 10 deadline for Level 1.

 In this episode, CSS’s Regulatory Content Manager Greg Hotaling sits down with Faye Sutherland, Head of Shareholding Disclosure of aosphere LLP to discuss the 2021 watchlist in the world of shareholding disclosure – from foreign direct investment and shareholder activism to updates on short selling restrictions. 

In this episode, CSS’s ESG experts Marye Cherry and Ronan Brennan talk about the latest developments with the EU Sustainable Finance Disclosure Regulation. The ESAs have published the much-anticipated final report and draft RTS on disclosures under the EU SFDR while there’s still the impending 10 March deadline for high-level, principles-based compliance with the Level 1 SFDR.

In this episode, CSS’s team of former Chief Compliance Officers Matt Calabro and Dan Haynes take a look at the global regulatory agenda in 2021 and provide practical tips and tricks to set compliance teams up for success.

In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Regulatory Specialist Nicklas Nilsson for a look back into the world of transaction reporting in 2020 - from uncertainties in the market to new regulations - and a look forward at changes to EMIR REFIT and MiFID II / MiFIR coming in 2022.

In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Client Officer Jac Dunne to take a look at some implementation case studies to uncover the challenges of regulatory reporting and how asset managers and fund administrators can optimize and scale their regulatory operations more efficiently.

In this episode, CSS’s Executive Director Jackie Hallihan sits down with Senior Consultant Adam DiPaolo to read the tea leaves on 2021. The compliance duo discusses changes to the SEC itself to regulations, rule-making, examination and enforcement trends and how to prepare for the predictability and unpredictability of compliance in the new year.