Coffee & Regs

83 Episodes

1. Preparing Private Funds for the Marketing Rule

   Published: 8/9/2021
2. Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC

   Published: 8/2/2021
3. Data Privacy & Building Compliance into the Product Development Lifecycle

   Published: 7/26/2021
4. EMIR REFIT & Regulatory Harmonization

   Published: 7/19/2021
5. Ransomware Attacks – Cybersecurity Concerns & Best Practices to Mitigate Risk

   Published: 7/12/2021
6. Why Outsourced Compliance is No Longer a Dirty Word

   Published: 7/5/2021
7. Betting on Bitcoin: Cryptocurrency & Digital Assets 101 for Investment Managers

   Published: 6/28/2021
8. Expanding Your Compliance Program Through Trade Surveillance

   Published: 6/21/2021
9. Keeping Pace with Position Limits & Pre-Trade Monitoring

   Published: 6/14/2021
10. Getting a Head Start on the SEC Derivatives Rule 18f-4

    Published: 6/7/2021
11. ESG and the Impact of the EU SFDR on U.S. Asset Managers

    Published: 5/31/2021
12. Private Funds 101 – From SEC Registration to Compliance Rules

    Published: 5/24/2021
13. Special Episode: Spotlighting the Expect Miracles Foundation & Social Distance Challenge

    Published: 5/17/2021
14. The Facts on FINRA & Capital Acquisition Brokers

    Published: 5/10/2021
15. New Rule Roadmap: Navigating and Implementing the Marketing Rule

    Published: 5/3/2021
16. Managing Cyber Insurance Risk

    Published: 4/26/2021
17. ESMA Updates, MiFIR & Transaction Reporting Trends

    Published: 4/19/2021
18. Mastering the Marketing Rule

    Published: 4/12/2021
19. Preparing Now for a PRIIPs KID Project Plan

    Published: 4/5/2021
20. Pension Funds & Independent Compliance Reviews

    Published: 3/29/2021