Sep 13, 2021 | CoffeeandRegs
Mythbusting ESG & FAQs Part 2 In this second episode of a special two-part series on ESG, CSS’s Regulatory Content Manager, Greg Hotaling and ESG Specialist, Marye Cherry demystify the complicated world of ESG including the latest regulatory developments,...
Sep 6, 2021 | CoffeeandRegs
Mythbusting ESG & FAQs Part 1 In this episode of a special two-part series on ESG, CSS’s Regulatory Content Manager, Greg Hotaling and ESG Specialist, Marye Cherry demystify the complicated world of ESG including the latest regulatory developments, the...
Aug 30, 2021 | CoffeeandRegs
SFDR Level 2 RTS Delays and Latest Developments In this episode, CSS’s Head of ESG, Marye Cherry discusses the latest updates on ESG, including the delay to the SFDR Level 2 RTS and the impact that will have on financial firms. About Our Guest...
Aug 23, 2021 | CoffeeandRegs, Uncategorized
The Mood of Compliance In this episode, CSS’s Executive Director, Jackie Hallihan and Senior Consultant, Adam DiPaolo discuss observations on the mood of compliance, with predictions of heavy regulatory activity, and key areas of focus including enforcement,...
Aug 16, 2021 | CoffeeandRegs
The RIA Wild West of Going Independent In this episode, CSS’s Director of Retail Wealth Manager Services, Korrine Kohm and Founder of Transition To RIA, Brad Wales discuss the path to becoming an independent registered investment adviser, best practices to get...
Aug 9, 2021 | CoffeeandRegs
Preparing Private Funds for the Marketing Rule In this episode, our team of private funds experts, John Gentile, Eugenie Warner and Adam DiPaolo, discuss how private funds will be affected by the new Marketing Rule and how they can start preparing for...
Aug 2, 2021 | CoffeeandRegs
Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC In this episode, our team of former CCOs, Dan Haynes and Victoria Olson discuss why a code of ethics tool is not only beneficial to compliance but to employees and to stay on the SEC’s good...
Jul 27, 2021 | CoffeeandRegs
Data Privacy & Building Compliance into the Product Development Lifecycle In this episode, CSS’s Director of Cyber IT Services, E.J. Yerzak sits down with Co-Founder and COO of TerraTrue, Chris Handman to discuss data privacy and how compliance can...
Jul 19, 2021 | CoffeeandRegs
EMIR REFIT & Regulatory Harmonization In this episode, our team of global transaction reporting experts, Alexis Wiazmitinoff and Nicklas Nilsson discuss changes coming to EMIR REFIT in 2022 and beyond. With the markets moving towards a harmonization of data...
Jul 12, 2021 | CoffeeandRegs
Ransomware Attacks – Cybersecurity Concerns & Best Practices to Mitigate Risk In this episode, our team of cybersecurity experts, E.J. Yerzak and Mike Farrell discuss the latest ransomware attacks in the news, best practices to keep your data secure and...
