The Facts on FINRA & Capital Acquisition Brokers In this episode, CSS’s Director of Broker-Dealer Services and a former regulator, John Gentile and Executive
New Rule Roadmap: Navigating and Implementing the Marketing Rule In this episode, former CCOs and CSS’s compliance services experts in retail and institutional wealth
Managing Cyber Insurance Risk In this episode, CSS’s Director of Cyber IT Services E.J Yerzak sits down with AVP, Program Executive at Varney Agency
ESMA Updates, MiFIR & Transaction Reporting Trends In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Regulatory Specialist Nicklas Nilsson to
Mastering the Marketing Rule In this episode, CSS’s Co-Executive Directors of Compliance Services Keith Marks and Jackie Hallihan sit down to discuss actionable takeaways
In this episode, CSS’s resident document production experts, Shane O’Sullivan and Charles Seigle-Goujon sit down to discuss how to prepare now for the UCITS to
In this episode, former Chief Compliance Officers Matt Calabro and Allison Fraser sit down to discuss public pension fund independent compliance reviews. Pension fund managers
In this episode, former Chief Compliance Officers Allison Fraser and Victoria Olson sit down to discuss a playbook for regulatory change. With new regulations like
In this episode, former Chief Compliance Officers Korrine Kohm and Ariana Monchick discuss CCO liability, ways to avoid enforcement and best practices for compliance teams
In this episode, CSS’s President and Founder John Lee joins Natalie Silverman to discuss what the future of RegTech looks like in five years, from innovation
