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

Interview

Outtakes

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