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Coffee & Regs

A CSS RegTech podcast series on moving from a tactical to strategic approach to regulatory compliance.

The global regulatory space is complex and fragmented. Financial firms can address this problem through tactical responses to regulatory deadlines or think more strategically on how to optimize their compliance data, operations and technology. The Compliance Solutions Strategies weekly podcast features regulatory experts, former Chief Compliance Officers, industry partners and RegTech collaborators to help prepare buy-side and sell-side firms for changes on the regulatory horizon.


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For investors tracking their shareholder identification obligations required by EU issuers under SRD2:  Note that ESMA and the EBA have…

Last week, the SEC adopted two new rules related to the security-based swaps (SBS) markets, namely Rule 9j-1 and Rule 15fh-4(c)….