Best NSCP Podcasts (2024)

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S5:E8 | PFAR Takes a Vacation and No More Chevron – Lessons From The Front Lines | Compliance In Context 54:49

10d ago54:49

54:49

Welcome back to the Compliance in Context Podcast! On today’s show, we feature a Lessons From The Front Lines episode where we welcome two very special guests, namely Ms. Alpa Patel and Mr. Igor Rozenblit, to share their fantastic insights and help us unpack the Loper Bright and Corner Post decisions, PFAR getting vacated, and what’s next on the ex…

1
S5:E7 | Reviewing the FinCEN AML Rule Proposal | Compliance in Context 1:00:33

1M ago1:00:33

1:00:33

Welcome back to the Compliance In Context podcast! On today’s show, we perform a comprehensive review a of rule proposal from 2024 with the biggest long-term impact to the RIA community—namely AML rule proposal from FinCEN. In our Headlines section, we review recent decision from the Fifth Circuit court to stay the new DOL Fiduciary Rule that was i…

1
S5:E6 | The Evolution of Compliance at the NSCP | Compliance in Context 53:01

2M ago53:01

53:01

Welcome back to the Compliance In Context podcast! On today’s show, we look at the evolution of compliance through the lens of the NSCP, analyzing key growth milestones, identifying new resources and building for the future, and reviewing what’s up next for the organization in 2024. In our Headlines section, we review recent decisions from the Supr…

1
S5:E5 | Building a Third-Party Due Diligence Program | Compliance in Context 57:00

3M ago57:00

57:00

Welcome back to the Compliance In Context podcast! On today’s show, we review an incredibly important topic for all SEC-registered broker-dealers and investment advisers, namely third-party due diligence of service providers—what situations require it, regulatory considerations, and what are the basic building blocks for establishing a successful d…

1
S5:E4 | Analyzing FINRA Remote Supervision | Compliance in Context 1:03:30

4M ago1:03:30

1:03:30

Welcome back to the Compliance In Context podcast! On today’s show, we review one of the most important topics impacting broker-dealers this year, namely the issue of remote supervision and how to address the new Residential Supervisory Location Designation and the Remote Inspections Pilot Program. In our Headlines section, we review the recent Sup…

1
S5:E3 | Breaking Down The “New” DOL Fiduciary Rule – Lessons From The Front Lines | Compliance In Context 53:10

4M ago53:10

53:10

Welcome back to the Compliance In Context podcast! On today’s show, we feature a Lessons From The Front Lines episode with renowned retirement plan fiduciary expert, Mr. Fred Reish, to help us through another groundbreaking DOL Fiduciary Rule and unpacking where and how it will affect investment adviser and broker-dealer firms across the country. T…

1
S5:E2 | The CCO’s Toolkit | Compliance in Context 56:09

5M ago56:09

56:09

Welcome back to the Compliance In Context podcast! On today’s show, I am thrilled to welcome back to the show, Mr. Rob Tull, who talks us through what’s in the complete toolkit every CCO needs to build an effective compliance program. In our Headlines section, we review recent comments from the SEC’s Enforcement Division responding to criticisms fr…

1
S5:E1 | The State of the Investment Adviser Industry | Compliance In Context 56:26

6M ago56:26

56:26

Welcome back to the Compliance In Context podcast! On today’s show, we have with us two very special guests in the investment management space, Karen Barr from the Investment Adviser Association and Lisa Crossley from the National Society of Compliance Professionals, to discuss the current state of the Investment Adviser industry, what new regulati…

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S4:E14 | The Impact of Data on Compliance Part II | Compliance In Context 47:04

7M ago47:04

47:04

Welcome back to the Compliance in Context Podcast! On today’s show, we welcome back in welcome in David Scalzetti, Senior Director of Regulatory Products and Strategy at ICE, for Part II of a part of a two-part program looking at the impact of data on compliance. In this program, David will focus on how data can dramatically help firms trying to na…

1
S4:E13 | The Impact of Data on Compliance Part I | Compliance In Context 46:16

7M ago46:16

46:16

Welcome back to the Compliance in Context Podcast! On today’s show, we welcome in David Scalzetti, Senior Director of Regulatory Products and Strategy at ICE, as part one of a two-part program looking at the impact of data on compliance. In the first part of our interview, David will look at how data can support your firm’s compliance program in an…

1
S4:E12 | Revisiting CCO Liability and the NSCP Framework | Compliance In Context 59:46

8M ago59:46

59:46

Welcome back to the Compliance in Context Podcast! On today’s show, we welcome in Brian Rubin to discuss the current state of CCO liability and revisit the NSCP Firm and CCO Liability Framework and review its impact on the investment management industry nearly two years after its original publication. In our Headlines section, we look at recent dat…

1
S4:E11 | Marketing and Advertising in SEC Exams – Lessons From The Front Lines | Compliance In Context 42:47

9M ago42:47

42:47

Welcome back to the Compliance in Context Podcast! On today’s show, we feature a Lessons From The Front Lines episode we welcome back to the show a very special guest, namely SEC Division of Examinations Senior Counsel Christopher Mulligan to review how the Division of Exams is approaching the SEC Marketing Rule one year after the compliance date, …

1
S4:E10 | Reviewing the PDA Rule Proposal | Compliance In Context 1:01:28

11M ago1:01:28

1:01:28

Welcome back to the Compliance in Context Podcast! on today’s show, we do a deep dive on the recent rule proposal from the SEC on predictive data analytics technologies and some of the significant compliance challenges associated with that rule proposal and the push back we’ve seen from the industry. In our Headlines section, and in record-breaking…

1
S4:E9 | Private Fund Rules Finalized: Trick or Treat? – Lessons From The Front Lines | Compliance In Context 1:00:55

12M ago1:00:55

1:00:55

Description Welcome back to the Compliance in Context Podcast! On today’s show, we feature a Lessons From The Front Lines episode on the recently passed SEC Private Fund Adviser Rules with an esteemed panel of experts featuring three former regulators who served at the very highest levels of the SEC—Kristin Snyder, Dan Kahl, and Pete Driscoll. It’s…

1
S4:E8 | The Intersection of AI and Compliance | Compliance In Context 1:02:59

1y ago1:02:59

1:02:59

Welcome back to the Compliance in Context Podcast! on today’s show, we take a look at one of the most-talked about subjects over the last twelve months, namely artificial intelligence, and expert Marc Gilman will help us further examine the benefits and impact of AI on your firm’s compliance program. In our Headlines section, we’ll review the recen…

1
S4_E7 l Cryptocurrency and the Ripple Effect l Compliance In Context 1:07:29

1y ago1:07:29

1:07:29

Welcome back to the Compliance in Context Podcast! On today’s show, we dive back into the Cryptocurrency conversation with one of our favorite FinTech experts, Chuck Senatore, to discuss the current state of cryptocurrency in the financial markets and how certain timeless principles could be helpful for the future of this asset class. In our Headli…

1
S4:E6 | What Do You Mean, Valuation? | Compliance In Context 1:05:12

1y ago1:05:12

1:05:12

Welcome back to the Compliance in Context Podcast! On today’s show, we take a comprehensive look at the ever-important topic of valuation, why it’s such a key topic for firms and regulators, and the role that compliance can play in the process. In our Headlines section, we review a recent risk alert from the Division of Exams on the New Marketing R…

1
S4:E5 | Cybersecurity Rule Proposal Redux - Lessons From The Front Lines | Compliance In Context 1:24:26

1y ago1:24:26

1:24:26

Welcome back to the Compliance in Context Podcast! On today’s show, we do a double-feature Lessons From The Front Lines episode on the SEC Cybersecurity Rule Proposal (Rule 206(4)-9) with an esteemed panel of experts from ACA Aponix and Fairview Cyber, including Carlo di Florio, Christine Tetherly-Lewis, Mike Pappacena, and Amber Allen. Given the i…

1
S4:E4 | 2023 Report on FINRA's Examination and Risk Monitoring Program | Compliance In Context 1:08:08

1+ y ago1:08:08

1:08:08

Welcome back to the Compliance in Context Podcast! On today’s show, we do a deep dive on the 2023 Report on FINRA’s Examination and Risk Monitoring Program and the role of the Membership Application Program as part of FINRA’s larger governance structure. In our Headlines section, we review recent testimony from Chair Gensler before the House Financ…

1
S4:E3 | Breaking Down The New SEC Custody Rule Proposal | Compliance In Context 1:20:38

1+ y ago1:20:38

1:20:38

Welcome back to the Compliance in Context Podcast! On today’s show, we take an in-depth look at the SEC’s new Custody rule proposal and the impact of these new requirements on investment advisers, broker-dealers, and custodians. In our Headlines section, we examine the new Cybersecurity rule proposal (also known as Rule 10) and the new proposed ame…

1
S4:E2 | Keeping Up With ESG | Compliance In Context 1:03:12

1+ y ago1:03:12

1:03:12

Welcome back to the Compliance in Context Podcast! On today’s show, we do a deep dive into the wellspring of legal and compliance issues surrounding the topic of ESG, including an analysis of all the recent rulemaking in this space and what the practical application of these rules could mean for firms and their respective compliance programs. In ou…

1
S4:E1 | Recent Trends in SEC Examinations - Lessons From The Front Lines | Compliance In Context 45:33

1+ y ago45:33

45:33

Welcome back to the Compliance in Context Podcast! Today’s show is a historic one as we officially launch Season 4!! To help us celebrate such a momentous occasion, we welcome in Ranah Esmaili to do a deep dive on recent trends in the SEC examination space and kickoff the next iteration of our Lessons From The Front Lines series. An SEC alum hersel…

1
S3:E14 l The State of the Investment Adviser Industry l Compliance In Context 59:16

1+ y ago59:16

59:16

Welcome back to the Compliance In Context podcast! Today’s show features two very special guests in the investment management space, Karen Barr from the Investment Adviser Association and Lisa Crossley from the National Society of Compliance Professionals, to talk to us about what’s happening in the investment adviser space, discuss the rich histor…

1
S3:E13 | Building Your Mental Resiliency | Compliance in Context 1:16:49

2y ago1:16:49

1:16:49

Welcome back to Compliance In Context podcast! On today’s show, Given the speed and complexity of rulemaking this year from the SEC, we thought we’d give you a break from the technical, and focus on a few tips on how to handle the physical and mental parts of being a compliance officer. To help guide us through this conversation, we welcome in Debb…

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S3:E12 | The New SEC Cybersecurity Rule Proposal--What You Need To Know | Compliance in Context 1:08:46

2y ago1:08:46

1:08:46

Welcome back to Compliance In Context podcast! On today’s show, we do a deep dive on the new SEC Cybersecurity Risk Management rule proposal for Investment Advisers—what it says and what you can do now to help prepare your firm for the potential updates that may be necessary comply with the new rule. In our Headlines section, we look at two recent …

1
S3:E11 | Marketing Rule Master Class Episode 6 - Implementation | Compliance in Context 1:06:37

2y ago1:06:37

1:06:37

Welcome to Episode 6 of the Marketing Rule Master Class mini-series. In our final episode we are building upon the lessons learned in the prior five episodes with a focus on key compliance considerations for implementing the Marketing Rule. Moderator Carlo di Florio, ACA, along with panelists Craig Watanabe, DFPG Investments, Chas Spiros, ACA, and …

1
S3:E10 | Marketing Rule Master Class Episode 5 - Adventures in Marketing | Compliance in Context 1:11:58

2y ago1:11:58

1:11:58

Welcome to Episode 5 of the Marketing Rule Master Class mini-series. Episode 5 focuses on testimonials, endorsements, and third-party ratings. Moderator, Patrick Hayes, Calfee and panelists Jaqueline Hummel, ACA, Anthony Dillingham, ACA, and Matt Shepherd, ACA, delve into the nuances and traps for the weary when utilizing testimonials, endorsements…

1
S3:E9 | Marketing Rule Master Class Episode 4 - Performance | Compliance in Context 1:17:28

2y ago1:17:28

1:17:28

Welcome to Episode 4 of the Marketing Rule Master Class mini-series focused on performance. In our fourth episode of the master class, moderated by Carlo di Florio, ACA Group, you will hear from Karyn Vincent, CFA Institute, Janice Kitzman, Cascade Compliance, Julia Reyes, ACA Group, and Shivani Choudhary, ACA Group, as they discuss the various Mar…

1
S3:E8 | Marketing Rule Master Class Episode 3 - Impact on Private Funds | Compliance in Context 1:20:29

2y ago1:20:29

1:20:29

In the third episode of our new master class series on the SEC Marketing Rule! You’ll hear from host, Patrick Hayes, Calfee along with our industry panelists Genna Garver, Partner, Troutman Pepper, Bree Ward Associate, Akerman LLP, Matt Shepherd, Director, ACA Group. Together, we’ll discuss the general impact of the new Marketing rule to Private Fu…

1
S3:E7 | Marketing Rule Master Class - Episode 2 Overview of the Rule and Tricky Legal Aspects | Compliance in Context 1:06:01

2y ago1:06:01

1:06:01

Welcome back! In the second episode of our new master class series on the SEC Marketing Rule! You’ll hear from host, Carlo di Florio of ACA Group along with our industry panelists Issa Hanna, Partner, Eversheds Sutherland, Amber Allen, VP and General Counsel, Fairview Investment Services, and Chas Spiros, Principal Consultant, ACA Group. Together, …

1
S3:E6 | Marketing Rule Master Class Episode 1 - Background and Observations on the New Rule | Compliance in Context 1:02:42

2y ago1:02:42

1:02:42

Welcome back to Compliance In Context podcast! We are incredibly pleased to announce the release of our new master class series on the new SEC Marketing Rule! In our first episode of the master class, you’ll hear from our co-hosts, Patrick Hayes, Calfee and Carlo di Florio, ACA Group along with our industry panelists from the SEC, Steven Levine and…

1
S3:E5 | Time For Some Fun and Gamification | Compliance in Context 1:08:16

2y ago1:08:16

1:08:16

Welcome back to Compliance In Context podcast! On today’s show, we’re going to be focusing our attention on gamification—what is it, why are regulators and investors concerned about it, what are the benefits of it, and most importantly, what are the key things you should be considering from a compliance perspective? In our Headlines section, we loo…

1
S3:E4 | Compliance In Mythology | Compliance in Context 1:05:38

2+ y ago1:05:38

1:05:38

Welcome back to Compliance In Context podcast! Today’s show is the first of its kind as we look to add a little colorful storytelling into our typical compliance discussion. In this episode of the podcast, we welcome in Miriam Lefkowitz and John Walsh to review legends and myths from cultures around the world that teach us a lesson about life (and …

1
S3:E3 | Lessons From The Front Lines - Facing the Frontier of DeFi and Crypto | Compliance in Context 1:11:03

2+ y ago1:11:03

1:11:03

Welcome back to the Compliance in Context Podcast! This episode of the Compliance In Context Podcast marks another iteration of our Lessons From The Front Lines series where we welcome in digital asset and FinTech and RegTech expert Chuck Senatore to explore the origins of cryptocurrencies and digital assets, their impact on the financial markets, …

1
S3:E2 | 2022 Report on FINRA’s Examination and Risk Monitoring Program | Compliance in Context 50:11

2+ y ago50:11

50:11

Welcome back to the Compliance in Context Podcast! On this episode of the Compliance In Context Podcast, we explore the hidden nuances and key differences in the new 2022 Report on FINRA’s Examination and Risk Monitoring Program with Susan Schroeder—former head of enforcement at FINRA and current partner at Wilmer Hale—who sits down with us to revi…

1
S3:E1 | Private Fund Rule Proposals--Enhancing Investor Protections or Unnecessary Sea Change? | Compliance In Context 58:00

2+ y ago58:00

58:00

Welcome back to the Compliance in Context Podcast! In this episode, we discuss the recent private fund rule proposals and explore how their adoption would affect the industry. For an in depth review of the proposals, we are joined by Jeff Blumberg—Partner at Faegre Drinker and Chair Elect of the NSCP. Our conversation spans Form PF, rule amendments…

1
S2:E14 | Lessons From The Front Lines - Protecting Our Seniors and Vulnerable Investors | Compliance In Context 48:12

2+ y ago48:12

48:12

Welcome back to the Compliance In Context Podcast! Today’s episode features the fifth in a series of shows we refer to as the Lessons From The Front Lines series. These shows focus on real-life, tough-to-tackle subjects that other industry professionals and regulators have faced on the front lines of our industry. Today we have the pleasure of spea…

1
S2:E13 | Revisiting the Issue of CCO Liability | Compliance In Context 41:29

2+ y ago41:29

41:29

Welcome back to the Compliance In Context Podcast! This episode, we welcome in Carlo di Florio, Chief Services Officer at ACA Group and Brian Rubin, a partner and leader of the Eversheds Sutherland securities enforcement practice to discuss the issue of CCO liability and the newly proposed NSCP Firm and CCO Liability Framework. In our Headlines sec…

1
S2:E12 | Cybersecurity and Teleworking Part II - What Does Windows 11 Mean To You? | Compliance In Context 1:08:47

2+ y ago1:08:47

1:08:47

Welcome back to the Compliance In Context Podcast! On today’s show, we welcome the return of former NSCP Board Chair and all-around compliance expert, Craig Watanabe, to analyze some recent comments from SEC Chair Gensler around cybersecurity, and reveal some practical tips firms can use to enhance the cybersecurity measures inside their own firms.…

1
S2:E11 | The New DOL Fiduciary Rule is Coming: Are You Ready? | Compliance In Context 52:30

3y ago52:30

52:30

Welcome back to the Compliance In Context Podcast! On today’s show, we welcome the Marcia Wagner, founder of The Wagner Law Group and an expert in all things ERISA to discuss the impact of the new DOL Fiduciary Rule on the investment management industry and the upcoming compliance and enforcement deadlines. In our Headlines section, we look at rece…

1
S2:E10 | Lessons From The Front Lines - Thoughts on Crypto From the SEC and FINRA | Compliance In Context 1:02:15

3y ago1:02:15

1:02:15

Welcome back to the Compliance In Context Podcast! Today’s podcast features the fourth in our Lessons From The Front Lines series which focus on real-life, tough-to-tackle subjects that other industry professionals and regulators have faced on the front lines of our industry. To help guide us through today’s conversation, we welcome in Neil Maitra …

1
S2:E9 | What's New at NASAA | Compliance In Context 55:59

3y ago55:59

55:59

Welcome back to the Compliance In Context Podcast! On today’s episode, we welcome in the President of the North American Securities Administrators Association, Melanie Lubin, for an insider’s look into what’s happening at NASAA including new areas of focus like continuing education, Reg BI, senior investors, and much more. In our Headlines section,…

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S2:E8 | Finding Your Career Path In Compliance | Compliance In Context 57:59

3y ago57:59

57:59

Welcome back to the Compliance In Context Podcast! On today’s episode, we welcome in Jennifer Selliers, Director of Internal Compliance for the State of Tennessee Department of Treasury and current NSCP board member, for an authentic look at how to find your own career path in compliance (and everywhere). In our Headlines section, the SEC seeks com…

1
S2:E7 | Fees, Expenses, Billing--Oh My! | Compliance In Context 45:29

3y ago45:29

45:29

Welcome back to the Compliance In Context Podcast! On today’s episode, we we welcome in Melissa Loner, the Executive Vice President of Advisor Services at Premiere Wealth Management and current NSCP board member. With a background in compliance but with a focus now on running the business, Melissa is the perfect person to share with us all the best…

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S2:E6 | The Five Fundamentals of Compliance | Compliance In Context 1:02:58

3y ago1:02:58

1:02:58

Welcome back to the Compliance In Context Podcast! On today’s episode, we have the distinct pleasure of chatting with Jim Downing, the current Chair-Elect of the NSCP Board of Directors and current Chief Compliance Officer for Morningstar, who shares with us his Five Fundamentals of Compliance, and provides some fantastic insight into how best to r…

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S2:E5 | Lessons From The Front Lines - The Many Shades of ESG | Compliance In Context 59:57

3y ago59:57

59:57

Welcome back to The Securities Compliance Podcast! We have a fantastic episode ahead that shines a light on a very difficult topic—ESG. To do this, we continue the third installment of our Lessons From the Front Lines series. Much like our regular shows, this series will provide same excellent content to help you put Compliance In Context, but will…

1
S2:E4 | What's New at the NFA? | Compliance In Context 48:19

3+ y ago48:19

48:19

Welcome back to the Compliance In Context Podcast! On today’s show, we have the distinct pleasure of chatting with Patty Cushing, Director of Compliance at the NFA, for an insider’s look at the examination process with the NFA, new areas of focus for the SRO, ideas around remote supervision, and much more. In our Headlines section, we do a deep div…

1
S2:E3 | The Impact of Insurance on Compliance | Compliance In Context 48:41

3+ y ago48:41

48:41

Welcome back to the Securities Compliance podcast. On today’s show, we do a deep dive on the 2021 Investment Adviser Section Report from the North American Securities Administrators Association highlighting 2020 activities for NASAA and its broader application to the compliance profession. For our interview segment, we welcome in Lilian Morvay to p…

1
S2:E2 | What's New at the MSRB? | Compliance In Context 1:00:44

3+ y ago1:00:44

1:00:44

Welcome back to The Securities Compliance Podcast! Today’s show is going to be a great one. In the Headlines section, we’ll review recent recommendations from multiple SEC Commissioners on how to improve access to private capital. For our interview segment, we have the distinct pleasure of speaking with Mark Kim, CEO of the Municipal Securities Rul…

1
S2:E1 | The Practical Tilt of An Effective Compliance Program | Compliance In Context 48:34

3+ y ago48:34

48:34

Welcome back to The Securities Compliance Podcast! As we kick off Season 2, we begin by reviewing a recent report from the Congressional Research Service looking at the SEC’s current guidance on ESG and help break down an incredibly challenging couple months in this area. For our feature interview, we welcome in New York City Attorney and complianc…

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