Welcome back to The Securities Compliance Podcast!  As we kick off Season 2, we begin by reviewing a recent report from the Congressional Research Service looking at the SEC’s current guidance on ESG and help break down an incredibly challenging couple months in this area. 

For our feature interview, we welcome in New York City Attorney and compliance expert, Richard Chen. Together we discuss the practical tilt of running an effective compliance program and how compliance officers can be more productive. 

To wrap up the first episode of Season 2, we offer another installment of the History Has Your Back segment where we look back at the dating life of Warren Buffett, a quote from the most famous citizen of Motunui, and a good lesson in both life and compliance.

Headlines

Interview

History Has Your Back

Quotes: 

““I think that one of the helpful frameworks I use is called the Eisenhower Principle, which categorizes tasks based on whether they’re important or urgent.”

“...As compliance professionals, we are collaborative. We all want to get to the same place and so, it’s important for us to each put in what we know best about what’s going on, in order to perform effectively.”

Resources:

Compliance in Context