Coffee & Regs

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, cybersecurity specialists, industry partners and RegTech collaborators to help prepare investment management firms for changes on the regulatory horizon.

Episodes

December 27, 2021 23 min

In this episode, CSS’s Regulatory Content Manager Greg Hotaling and Product Manager Mike Marmo recap the world of investment monitoring in 2021 and give a sneak preview to what’s next in shareholding disclosure and position limit monitoring in 2022.

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In this episode, CSS’s SVP of Business Development Ashley Smith takes a trip around the world to discuss evolutionary changes for regulatory compliance in 2022 from SFDR and PRIIPs to AIFMD II and 18f-4.

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December 13, 2021 5 min

In this episode, CSS’s Transaction Reporting product team of Alexis Wiazmitinoff and Nicklas Nilsson make predictions on trends in transaction reporting in 2022 – from updates to SFTR to preparation for EMIR REFIT.

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In this episode, CSS’s Chief Product Officer Ronan Brennan makes predictions for PRIIPs and how the regulatory landscape in 2022 with PRIIPs and SFDR is reminiscent of 2018 with the implementation of PRIIPs and MiFID II.
 
 

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November 29, 2021 9 min

In this episode, CSS’s team of cybersecurity experts E.J. Yerzak and Mike Farrell recap the 2021 cybersecurity landscape and predict what’s next for 2022.  

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In this special episode, CSS’s Director of Retail Wealth Manager Services, Korrine Kohm and William R. Carrigan, Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation discuss the latest news for registered investment advisers, including what will be required in 2022 surrounding continuing education requirements, the implementation of the new Marketing Rule and what’s next for Form CRS.

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In this episode, CSS’s SVP of Business Development Ashley Smith joins Chief Product Officer Ronan Brennan to discuss the latest on the PRIIPs RTS, UK/EU divergence, data management complexities of the UCITS to PRIIPs transition and operational best practices to implement now. 

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In this episode, CSS’s team of CCOs Matt Calabro and Victoria Olson discuss how CCOs can prepare now for what’s to come with ESG – from policies and procedures to marketing materials and disclosures. 

 

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In this episode, Founder and CEO at CyberVista, Simone Petrella and CSS’s Director of Cyber IT Services, E.J. Yerzak discuss the importance of cybersecurity training, education, how to recruit talent and diversity in cyber and why compliance and cybersecurity are synonymous.

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In this episode, Vice Chair of Financial Services at KPMG UK, and former parliamentarian, Dr. Kay Swinburne and CSS’s Chief Product Officer Ronan Brennan discuss the latest on ESG, Level 2 SFDR and what investment managers need to be thinking about to prepare for 2022 implementation.

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In this episode, Director of Registered Investment Company Services, Allison Fraser and Director of Broker-Dealer Services & Private Funds, John Gentile discuss the latest on digital assets and cryptocurrency. Are they considered securities, what does the SEC’s risk alert mean for digital assets, and how should investment managers be thinking about cryptocurrency trading and compliance?

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In this episode, CSS’s Regulatory Content Manager, Greg Hotaling and Head of Shareholding Disclosure at aosphere LLP, Faye Sutherland discuss shareholding disclosure rules for managed holdings and why obligations across jurisdictions can be even more difficult for investment managers than staying on top of regulatory change. 

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In this episode, CSS’s team of cybersecurity experts E.J. Yerzak and Mike Farrell kick off Cybersecurity Awareness Month discussing the importance of vendor due diligence and the role that service providers can play in cyber incidents.

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September 26, 2021 22 min

In this episode, CSS’s team of CCO experts Korrine Kohm and Dan Haynes discuss regulatory examinations, SEC priorities and trends and insights into how compliance teams can be more proactive before the regulators come knocking.

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In this episode, CSS’s Chief Product Officer Ronan Brennan does a technical deeper dive into the latest news on the PRIIPs RTS, regulatory timelines and the challenges stemming from divergence between the EU and UK. 

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September 12, 2021 11 min

In this second episode of a special two-part series on ESG, CSS’s Regulatory Content Manager, Greg Hotaling and ESG Specialist, Marye Cherry demystify the complicated world of ESG including the latest regulatory developments, the complexity of ESG data, and what ESG actually means for investment managers.     

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September 5, 2021 12 min

In this episode of a special two-part series on ESG, CSS’s Regulatory Content Manager, Greg Hotaling and ESG Specialist, Marye Cherry demystify the complicated world of ESG including the latest regulatory developments, the complexity of ESG data, and what ESG actually means for investment managers.     

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In this episode, CSS's Head of ESG, Marye Cherry discusses the latest updates on ESG, including the delay to the SFDR Level 2 RTS and the impact that will have on financial firms.   

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August 22, 2021 15 min

In this episode, CSS's Executive Director, Jackie Hallihan and Senior Consultant, Adam DiPaolo discuss observations on the mood of compliance, with predictions of heavy regulatory activity, and key areas of focus including enforcement, ESG, cryptocurrency, whistleblowers and cybersecurity. 

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August 15, 2021 14 min

In this episode, CSS's Director of Retail Wealth Manager Services, Korrine Kohm and Founder of Transition To RIA, Brad Wales discuss the path to becoming an independent registered investment adviser, best practices to get started on your journey and compliance pitfalls to avoid.  

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