The Securities Compliance Podcast: Compliance In Context

S2:E2 | What's New at the MSRB? | Compliance In Context


Listen Later

Welcome back to The Securities Compliance Podcast! Today’s show is going to be a great one.  In the Headlines section, we’ll review recent recommendations from multiple SEC Commissioners on how to improve access to private capital.  For our interview segment, we have the distinct pleasure of speaking with Mark Kim, CEO of the Municipal Securities Rulemaking Board about the exciting developments happening at the MSRB, particularly on the technology and data side of the industry.  Finally, we’ll wrap up today’s show with another edition of Outtakes where we look at a Ponzi scheme and related emergency enforcement that unfortunately for the investors involved, wasn’t something that could only be made in Hollywood.

 

Headlines

  • SEC Commissioners weigh in on how certain underrepresented founders and investors can get access to capital
  • Commissioner Lee suggested the SEC evaluate how its regulations impact such communities
  • Commissioner Peirce recommended that the SEC provide greater flexibility to the accredited investor definition and individuals serving as “finders”
  •  

    Interview

    • The mission of the Municipal Securities Rulemaking Board.
    • The pillars upholding the MSRB.
    • Providing infrastructure to MSRB
    • The business case for cloud migration
    • Data privacy and information security
    • Transition away from LIBOR and related challenges
    • ESG in the municipal securities market
    •  

      Outtakes

      • SEC issued emergency enforcement action against an alleged Ponzi scheme straight out of Hollywood
      •  

        Quotes:

        “But that's not the only thing that Congress mandated us to do. Reading the Exchange Act, Congress also mandated the MSRB to establish information systems that promote a fair and efficient market, that facilitate capital formation. And those information systems, is what I mean by our core pillar of technology. It's the technology systems that undergird the market.”

        “Technology is fundamentally intertwined with compliance.”

         

        Resources:

        Compliance in Context

        ...more
        View all episodesView all episodes
        Download on the App Store

        The Securities Compliance Podcast: Compliance In ContextBy Patrick Hayes

        • 4.9
        • 4.9
        • 4.9
        • 4.9
        • 4.9

        4.9

        32 ratings


        More shows like The Securities Compliance Podcast: Compliance In Context

        View all
        NPR News Now by NPR

        NPR News Now

        14,188 Listeners

        WSJ What’s News by The Wall Street Journal

        WSJ What’s News

        4,333 Listeners

        The Ben Shapiro Show by The Daily Wire

        The Ben Shapiro Show

        153,397 Listeners

        Odd Lots by Bloomberg

        Odd Lots

        1,861 Listeners

        The Daily by The New York Times

        The Daily

        110,617 Listeners

        WSJ Minute Briefing by The Wall Street Journal

        WSJ Minute Briefing

        659 Listeners

        Fiction - Comedy Fiction by The Sunset Explorers

        Fiction - Comedy Fiction

        6,446 Listeners

        Morning Brew Daily by Morning Brew

        Morning Brew Daily

        2,958 Listeners

        All-In with Chamath, Jason, Sacks & Friedberg by All-In Podcast, LLC

        All-In with Chamath, Jason, Sacks & Friedberg

        9,263 Listeners

        SmartLess by Jason Bateman, Sean Hayes, Will Arnett

        SmartLess

        57,425 Listeners

        The Megyn Kelly Show by SiriusXM

        The Megyn Kelly Show

        38,488 Listeners

        Huberman Lab by Scicomm Media

        Huberman Lab

        28,589 Listeners

        Honestly with Bari Weiss by The Free Press

        Honestly with Bari Weiss

        8,598 Listeners

        The College Admissions Process Podcast by John Durante

        The College Admissions Process Podcast

        113 Listeners

        The Tucker Carlson Show by Tucker Carlson Network

        The Tucker Carlson Show

        15,546 Listeners