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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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When people think of an Investment Adviser, their first notion would likely be of the trading desk. The desk is…

In the post-Dodd-Frank regulatory world, investment advisers seeking to meet the expectations of the Securities and Exchange Commission (“SEC”), or of other regulators,…