The Securities Compliance Podcast: Compliance In Context Podcast Republic

The Securities Compliance Podcast: Compliance In Context

By Patrick Hayes

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Episodes: 74

Description

Meet Patrick Hayes, investment management counsel at Calfee, Halter & Griswold and your host for The Securities Compliance Podcast presented by the National Society of Compliance Professionals. A personal master class for the securities legal and compliance professional, Patrick’s passion is to help you put Compliance In Context™ by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision-makers. Listen today to help elevate your firm’s compliance program and take your career to new heights.

Episode	Date
S6:E4 \| SEC Enforcement Review – Lessons From The Front Lines \| Compliance in Context Read the full episode description	Oct 23, 2025
S6:E3 \| The Impact of Mentorship in Compliance \| Compliance in Context Read the full episode description	Sep 24, 2025
S6:E2 \| The SEC Crypto Task Force \| Compliance in Context Read the full episode description	Aug 01, 2025
S6:E1 \| Maximizing Your Compliance Resources \| Compliance In Context Read the full episode description	Jul 01, 2025
S5:E14 \| SEC Marketing Rule FAQs \| Compliance In Context Read the full episode description	May 15, 2025
S5:E13 \| Compliance Grab Bag! \| Compliance In Context Read the full episode description	Feb 28, 2025
S5:E12 \| Key Takeaways From The 2024 SEC Enforcement Results - Lessons From The Front Lines \| Compliance In Context Read the full episode description	Feb 11, 2025
S5:E11 \| Effective Strategies For Building Your Compliance Team \| Compliance In Context Read the full episode description	Jan 08, 2025
S5:E10 \| What's Happening in Crypto and the Impact of a New Administration \| Compliance In Context Read the full episode description	Dec 11, 2024
S5:E9 \| DOL Fiduciary Rule Update – Where Are We Now and Best Practices for Retirement Investors – Lessons From The Front Lines \| Compliance In Context Read the full episode description	Oct 31, 2024
S5:E8 \| PFAR Takes a Vacation and No More Chevron – Lessons From The Front Lines \| Compliance In Context Read the full episode description	Sep 03, 2024
S5:E7 \| Reviewing the FinCEN AML Rule Proposal \| Compliance in Context Read the full episode description	Aug 14, 2024
S5:E6 \| The Evolution of Compliance at the NSCP \| Compliance in Context Read the full episode description	Jul 18, 2024
S5:E5 \| Building a Third-Party Due Diligence Program \| Compliance in Context Read the full episode description	Jun 11, 2024
S5:E4 \| Analyzing FINRA Remote Supervision \| Compliance in Context Read the full episode description	May 15, 2024
S5:E3 \| Breaking Down The “New” DOL Fiduciary Rule – Lessons From The Front Lines \| Compliance In Context Read the full episode description	May 07, 2024
S5:E2 \| The CCO’s Toolkit \| Compliance in Context Read the full episode description	Apr 17, 2024
S5:E1 \| The State of the Investment Adviser Industry \| Compliance In Context Read the full episode description	Mar 11, 2024
S4:E14 \| The Impact of Data on Compliance Part II \| Compliance In Context Read the full episode description	Feb 26, 2024
S4:E13 \| The Impact of Data on Compliance Part I \| Compliance In Context Read the full episode description	Feb 09, 2024
S4:E12 \| Revisiting CCO Liability and the NSCP Framework \| Compliance In Context Read the full episode description	Jan 08, 2024
S4:E11 \| Marketing and Advertising in SEC Exams – Lessons From The Front Lines \| Compliance In Context Read the full episode description	Dec 12, 2023
S4:E10 \| Reviewing the PDA Rule Proposal \| Compliance In Context Read the full episode description	Nov 08, 2023
S4:E9 \| Private Fund Rules Finalized: Trick or Treat? – Lessons From The Front Lines \| Compliance In Context Read the full episode description	Oct 05, 2023
S4:E8 \| The Intersection of AI and Compliance \| Compliance In Context Read the full episode description	Sep 12, 2023
S4_E7 l Cryptocurrency and the Ripple Effect l Compliance In Context Read the full episode description	Aug 11, 2023
S4:E6 \| What Do You Mean, Valuation? \| Compliance In Context Read the full episode description	Jul 12, 2023
S4:E5 \| Cybersecurity Rule Proposal Redux - Lessons From The Front Lines \| Compliance In Context Read the full episode description	Jun 20, 2023
S4:E4 \| 2023 Report on FINRA's Examination and Risk Monitoring Program \| Compliance In Context Read the full episode description	May 02, 2023
S4:E3 \| Breaking Down The New SEC Custody Rule Proposal \| Compliance In Context Read the full episode description	Mar 30, 2023
S4:E2 \| Keeping Up With ESG \| Compliance In Context Read the full episode description	Mar 08, 2023
S4:E1 \| Recent Trends in SEC Examinations - Lessons From The Front Lines \| Compliance In Context Read the full episode description	Jan 24, 2023
S3:E14 l The State of the Investment Adviser Industry l Compliance In Context Read the full episode description	Jan 09, 2023
S3:E13 \| Building Your Mental Resiliency \| Compliance in Context Read the full episode description	Dec 01, 2022
S3:E12 \| The New SEC Cybersecurity Rule Proposal--What You Need To Know \| Compliance in Context Read the full episode description	Oct 13, 2022
S3:E11 \| Marketing Rule Master Class Episode 6 - Implementation \| Compliance in Context Read the full episode description	Aug 10, 2022
S3:E10 \| Marketing Rule Master Class Episode 5 - Adventures in Marketing \| Compliance in Context Read the full episode description	Aug 10, 2022
S3:E9 \| Marketing Rule Master Class Episode 4 - Performance \| Compliance in Context Read the full episode description	Aug 10, 2022
S3:E8 \| Marketing Rule Master Class Episode 3 - Impact on Private Funds \| Compliance in Context Read the full episode description	Aug 10, 2022
S3:E7 \| Marketing Rule Master Class - Episode 2 Overview of the Rule and Tricky Legal Aspects \| Compliance in Context Read the full episode description	Aug 09, 2022
S3:E6 \| Marketing Rule Master Class Episode 1 - Background and Observations on the New Rule \| Compliance in Context Read the full episode description	Aug 02, 2022
S3:E5 \| Time For Some Fun and Gamification \| Compliance in Context Read the full episode description	Jul 12, 2022
S3:E4 \| Compliance In Mythology \| Compliance in Context Read the full episode description	Jun 13, 2022
S3:E3 \| Lessons From The Front Lines - Facing the Frontier of DeFi and Crypto \| Compliance in Context Read the full episode description	May 25, 2022
S3:E2 \| 2022 Report on FINRA’s Examination and Risk Monitoring Program \| Compliance in Context Read the full episode description	Apr 14, 2022
S3:E1 \| Private Fund Rule Proposals--Enhancing Investor Protections or Unnecessary Sea Change? \| Compliance In Context Read the full episode description	Mar 30, 2022
S2:E14 \| Lessons From The Front Lines - Protecting Our Seniors and Vulnerable Investors \| Compliance In Context Read the full episode description	Mar 03, 2022
S2:E13 \| Revisiting the Issue of CCO Liability \| Compliance In Context Read the full episode description	Feb 25, 2022
S2:E12 \| Cybersecurity and Teleworking Part II - What Does Windows 11 Mean To You? \| Compliance In Context Read the full episode description	Feb 01, 2022
S2:E11 \| The New DOL Fiduciary Rule is Coming: Are You Ready? \| Compliance In Context Read the full episode description	Dec 05, 2021
S2:E10 \| Lessons From The Front Lines - Thoughts on Crypto From the SEC and FINRA \| Compliance In Context Read the full episode description	Nov 18, 2021
S2:E9 \| What's New at NASAA \| Compliance In Context Read the full episode description	Oct 26, 2021
S2:E8 \| Finding Your Career Path In Compliance \| Compliance In Context Read the full episode description	Sep 17, 2021
S2:E7 \| Fees, Expenses, Billing--Oh My! \| Compliance In Context Read the full episode description	Aug 31, 2021
S2:E6 \| The Five Fundamentals of Compliance \| Compliance In Context Read the full episode description	Aug 04, 2021
S2:E5 \| Lessons From The Front Lines - The Many Shades of ESG \| Compliance In Context Read the full episode description	Jun 30, 2021
S2:E4 \| What's New at the NFA? \| Compliance In Context Read the full episode description	Jun 16, 2021
S2:E3 \| The Impact of Insurance on Compliance \| Compliance In Context Read the full episode description	May 28, 2021
S2:E2 \| What's New at the MSRB? \| Compliance In Context Read the full episode description	May 18, 2021
S2:E1 \| The Practical Tilt of An Effective Compliance Program \| Compliance In Context Read the full episode description	May 06, 2021
S2:E0 l BONUS Season 2 Trailer l Compliance In Context Read the full episode description	May 04, 2021
S1:E13 \| Avoiding the Compliance Officer Burnout \| Compliance In Context Read the full episode description	Mar 02, 2021
S1:E12 \| Lessons From The Front Lines - Examinations and Enforcement \| Compliance In Context Read the full episode description	Feb 16, 2021
S1:E11 \| Lessons From The Front Lines - SEC Enforcement and the Impact on the Industry \| Compliance In Context Read the full episode description	Feb 02, 2021
S1:E10 \| Thoughts on CCO Liability from Commissioner Peirce \| Compliance In Context Read the full episode description	Jan 19, 2021
S1:E9 \| Cybersecurity and Teleworking \| Compliance In Context Read the full episode description	Jan 05, 2021
S1:E8 \| Diversity, Equity & Inclusion in Your Compliance Program \| Compliance In Context Read the full episode description	Dec 23, 2020
S1:E7 \| What's Up with Regulation Best Interest and How the Best Firms are Addressing the New Rule \| Compliance In Context Read the full episode description	Dec 08, 2020
S1:E6 \| Recent Trends in SEC and FINRA Enforcement \| Compliance In Context Read the full episode description	Nov 24, 2020
S1:E5 \| Origins of the SEC's Asset Management Unit \| Compliance In Context Read the full episode description	Nov 10, 2020
S1:E4 \| How FinTech and RegTech Impact Compliance \| Compliance In Context Read the full episode description	Oct 19, 2020
S1:E3 \| The New DOL Fiduciary Rule \| Compliance In Context Read the full episode description	Oct 19, 2020
S1:E2 \| What's New at OCIE? \| Compliance In Context Read the full episode description	Oct 19, 2020
S1:E1 \| Introducing Your Personal Master Class \| Compliance In Context Read the full episode description	Sep 21, 2020