Welcome to the first full episode of the Securities Compliance Podcast! A personal master class for the securities legal and compliance professional, we started this podcast with the mission of helping people put Compliance In Context™.

At the start of each episode, we will cover some of the “hottest” compliance topics of the day, focusing on the news and noteworthy events that impact your firm’s compliance program. Today’s show will review the impact of the new accredited investor rule and some recent risk alerts focusing on cybersecurity.

The second segment of each show will take our master class to the next level and feature an expert guest to do a deep dive on a significant topic affecting our industry. Today, we speak with Natasha Greiner, the Associate Director of the IA/IC Examination Office within the SEC’s Office of Compliance Inspections & Examinations. Together, we discuss her work and the current state of the OCIE.

The final segment of our first episode will launch the Outtakes series. If compliance were a TV show, think of this is as the bloopers reel, where we look at humorous activities carried out at financial services firms that hopefully provide us all with a roadmap of what not to do inside our firms and our compliance programs.

 

We hope you tune in and subscribe for future episodes!

 

Headlines

SEC expanding definitions of accredited investors.

Combating cybersecurity threats.

 

Interview

How OCIE has managed to remain fully operational.

Conducting outreach despite the pandemic.

Natasha’s work history and its impact on her current role.

What’s next for OCIE?

How Natasha and her family are handling quarantine.

 

Outtakes

Text messages and how to avoid violations of recordkeeping rules

 

Quotes:

"What we’ve done historically, in other times of market stress, we’ve really being trying to actively engage in ongoing outreach with registrants. And I’m really proud of this. I think we have done over three-hundred outreach events since FY 2020." - Natasha Greiner

 

Resources:

Compliance in Context