Categories
Coffee and Regs

ESMA Updates, MiFIR & Transaction Reporting Trends

ESMA Updates, MiFIR & Transaction Reporting Trends

 

In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Regulatory Specialist Nicklas Nilsson to discuss the latest updates from ESMA on MiFIR in the world of transaction reporting and the trend to consolidate regulatory reporting and data going forward.

 

About Our Guest Speakers:

 

Ronan Brennan is the Chief Product Officer at Compliance Solutions Strategies (CSS). In his role, he has direct responsibility for the strategic evolution of the global suite of CSS products and regulatory content. Managing product in CSS involves ensuring the product suite is ready to support both the current and future compliance management and regulatory reporting needs of investment management and advisory firms globally. Ronan participates as a speaker in many industry events each year, in addition to publishing a company blog and development of thought leadership materials. Ronan has 26 years of experience in the technology sector, 21 of which have been spent in the investment data management and regulatory reporting space.

 


 

Nicklas Nilsson is a Regulatory Specialist at CSS concentrating on global transaction reporting, including SFTR, MiFIR and EMIR. Nicklas is currently in a cross-functional role covering the regulations from analysis to implementation. He has eight years of experience working in the finance industry, including operational experience in fund reporting and regulatory implementation. Prior to joining CSS, Nicklas held positions at Swedbank, SEB and Wahlstedt Sageryd.

 
 

Categories
The Ethics Experts

Open To Work Bonus Episode 005: Adam Posner

In this episode of The Ethics Experts, Nick welcomes Adam Posner, Host of ThePOZcast / Founder & Managing Director at NHP Talent, to the show to discuss interviewing techniques.

Categories
Leading the Way

Kara Gordon on Compliance During the Pandemic and Beyond


Welcome to Leading the Way, a StoneTurn podcast. StoneTurn’s Leading the Way podcast series highlights the top compliance, legal and anti-fraud practitioners who are breaking down siloes and setting new standards for excellence worldwide. In this episode, StoneTurn Partner Valerie Charles is joined by well-known compliance professional Kara Gordon. It is a fascinating discussion of Kara’s journey through compliance, some of the changes she has seen, key lessons learned and where compliance is headed down the road.
Resources
StoneTurn
Kara Gordon LinkedIn Profile

Categories
FCPA Compliance Report

Laura Tulchin on the Year Everything Changed


In this Episode of the FCPA Compliance Report, I am joined by Laura Tulchin, Director at Exiger. We take a deep dive into ESG and compliance, both now and in the future in a fascinating episode about 2020, the year everything changed.  Highlights of this podcast include:

  1. Why has ESG become such an important topic?
  2. What does ESG mean?
  3. Why should ESG be headed by the CCO and compliance?
  4.  How does ‘Hearts and Minds’ apply to ESG?
  5. What risk management tools can facilitate ESG?
  6. What do compliance professionals and companies need to be focusing on down the road regarding ESG?

Resources 
Laura Tulchin on LinkedIn

Categories
Daily Compliance News

April 19, 2021 the Opioid Trial edition


In today’s edition of Daily Compliance News:

  • Did JPMorgan force out a whistleblower? (NY Post)
  • Do you miss office gossip? (WSJ)
  • Drug makers in opioid trial. (WSJ)
  • Are treadmills dangerous? (NYT)