Coffee & Regs

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 think differently about data.

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 today’s reality of doing more with less and managing compliance programs remotely.

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 can partner with the business to win trust.

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 need to begin thinking about post-pandemic business continuity and regulatory exams.

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 importance of cybersecurity and business continuity planning. Regulatory authorities will undoubtedly use this event to re-examine, re-emphasize and re-educate the financial industry on common BCP weaknesses and lessons learned.

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 the expanding scope of global regulations demanding constant improvement and agility, how do compliance teams anticipate change?

In this episode, CSS’s Regulatory Compliance Expert Greg Hotaling sits down with Head of Shareholding Disclosure at aosphere LLP Faye Sutherland to discuss what's next on the regulatory horizon in the second half of 2020. This coffee chat includes a round robin discussion on short selling bans, the wider EU regulatory position, regulators and COVID-19 and implications for substantial shareholding and sensitive industries.

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 high-risk areas, making changes to their risk profile and evaluating controls during market volatility.

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 reporting and the fast-approaching deadlines for SFTR, clients making the switch from CME/NEX Abide to another trade repository and the impending Brexit.

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 Compliance Officer – from the ongoing responsibilities of administering your firm’s compliance program to submitting timely filings and keeping up with regulatory change.