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

Trust the Process: Risk Mitigation via Business Verification

In this episode, CSS’s Director of Cyber IT Services E.J Yerzak speaks with Detected CEO Liam Chennells to kick off Cybersecurity Awareness Month. Taking cues from the world of RegTech, B2B marketplaces, supply chain and logistics sectors have uncovered why due diligence processes, business verification and data governance are critical to ensuring the entities you’re … Continued

Buy vs. Build: How Managed Services Turn Compliance into a Strategic Advantage

In this episode, Chief Client Officer at CSS, Jac Dunne joins Natalie Silverman to discuss why more investment management firms are looking to managed services to do more with less and conserve strategic resources. Keeping up with the pace of regulatory change has also pushed compliance teams to consider whether it is more efficient to … Continued

Compliance-as-a-Service: RegTech, Data and Managed Services

In this episode, Managing Director in Accenture’s Risk Practice, Dr. Rafael Gomes joins Natalie Silverman to discuss Compliance-as-a-Service – an innovative and proactive framework that enables compliance teams to move from a tactical to strategic approach to regulatory compliance via technology, centralized data, managed services and access to regulatory expertise.

Regulatory Soup – from UCITS KIID to PRIIPs KID

In this episode, Chief Product Officer of CSS, Ronan Brennan joins Natalie Silverman to discuss cross-border complexities from the transition many investment managers are preparing to make in the coming year from the UCITS KIID to PRIIPs KID regime.

A Retrospective on Form CRS & Reg BI and Regulator Insights

In this episode, CSS’s Co-Executive Directors of Compliance Services, Keith Marks and Jackie Hallihan walk through a retrospective of Form CRS and Reg BI now that the June deadline has passed. They also discuss compliance best practices that are emerging in this COVID environment from changes in training, process and operations, to working with regulators … Continued

How the Ghosts of Transaction Reporting Past Guide the Regulatory Future State

In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup and regulatory expert and Founder of Laurellis Associates, Nik Volpe take a trip down memory lane to discuss knowing what we understand about transaction reporting today, what would buy- and sell-side firms have done differently to implement EMIR, MIFIR and SFTR.

Data Management and a Regulatory Book of Record

In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Product Officer Ronan Brennan to talk about fragmented data sourcing, processes and technologies and how firms can manage data more strategically through a regulatory book of record (RBOR). The discussion also turns to how data management plays a role in simplifying … Continued

The Art of Data, Innovation & Adapting to Change

In this episode, the founder and CEO of COMBINER and previous curator at the Nobel Prize Museum Tobias Degsell joins Natalie Silverman to discuss innovation, collaboration and inspiring teams to think differently about data.

Compliance Culture in a Bottle

In this episode, former Chief Compliance Officer and CSS’s Compliance Consultant Victoria Olson joins Natalie Silverman to discuss how CCOs can embed a culture of compliance into an organization to today’s reality of doing more with less and managing compliance programs remotely.

Nobody Puts Compliance in a Corner

In this episode, former Chief Compliance Officer and CSS’s Senior Consultant Dan Haynes joins Natalie Silverman to discuss how a CCO can earn a seat at the executive table and ways compliance teams can partner with the business to win trust.

Business Resilience & Regulatory Exams

In this episode, former Chief Compliance Officer and CSS’s Director of Retail Wealth Manager Services Korrine Kohm joins Natalie Silverman to discuss business resiliency, and how compliance teams need to begin thinking about post-pandemic business continuity and regulatory exams.

The Dark Side of Cybersecurity & BCP

In this episode, former CSS’s Director of Cyber IT Services E.J Yerzak joins Natalie Silverman to discuss everything from hackers and the dark web to how COVID-19 has reminded financial firms of the importance of cybersecurity and business continuity planning.

Iceberg Ahead: Navigating Regulatory Change

In this episode, former Chief Compliance Officer and CSS’s Senior Consultant Ariana Monchick joins Natalie Silverman to talk about the biggest challenge facing CCOs today – regulatory change. With the expanding scope of global regulations demanding constant improvement and agility, how do compliance teams anticipate change?

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.