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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Episodes

Risky Business: Compliance & Market Volatility

In this episode, former Chief Compliance Officer and CSS’s Director of Institutional Wealth Manager Services Matt Calabro joins Natalie Silverman to discuss how investment managers are identifying high-risk areas, making changes to their risk profile and evaluating controls during market volatility.

Q4 Regulatory Reporting Milestones – SFTR and CME/NEX Abide and Brexit, oh my!

In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Head of Business Development at REGIS-TR Nick Bruce to talk about the world of transaction reporting and the fast-approaching deadlines for SFTR, clients making the switch from CME/NEX Abide to another trade repository and the impending Brexit.

For CCOs, By CCOs: Assessing Your Compliance Program

In this episode, former Chief Compliance Officer and CSS’s Director of RIC Services Allison Fraser joins Natalie Silverman to discuss the evolving role of today’s Chief Compliance Officer – from the ongoing responsibilities of administering your firm’s compliance program to submitting timely filings and keeping up with regulatory change.

Short Selling Restrictions – Staying Ahead of the Regulatory Curve

In this episode, CSS’s Regulatory Compliance Expert Greg Hotaling and Product Manager Mike Marmo discuss the market disruption due to COVID-19, periodic short selling bans and reduced thresholds that forced compliance teams to adapt to rapidly changing position limits, thresholds by market and timely disclosures.

Monitoring the Fast-Changing Sensitive Industries Landscape

In this episode, CSS’s EU Regulatory Counsel Marye Cherry and Regulatory Compliance Expert Greg Hotaling discuss the complexities around sensitive industries, the recent changes to rules and the impact that COVID-19 has had on global threshold management.

Moving from a Tactical to a Strategic Approach to Regulatory Compliance

In this episode, CSS’s President and Founder John Lee joins Natalie Silverman to discuss moving from a tactical to strategic approach to regulatory compliance and the challenges the market is facing today, from data management and total cost of ownership to risk, regulatory change and scalability.