Coffee & Regs

By CSS (Compliance Solutions Strategies)

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.

  1. 1.
    The Facts on FINRA & Capital Acquisition Brokers
    11:52
  2. 2.
    New Rule Roadmap: Navigating and Implementing the Marketing Rule
    19:08
  3. 3.
    Managing Cyber Insurance Risk
    12:47
  4. 4.
    ESMA Updates, MiFIR & Transaction Reporting Trends
    11:29
  5. 5.
    Mastering the Marketing Rule
    10:53
  6. 6.
    Preparing Now for a PRIIPs KID Project Plan
    15:06
  7. 7.
    Pension Funds & Independent Compliance Reviews
    12:52
  8. 8.
    The Compliance Playbook for Regulatory Change
    14:16
  1. 9.
    For CCOs, By CCOs: Tips to Mitigate Compliance Liability
    17:38
  2. 10.
    RegTech in Five Years: Digitization and Datafication
    16:38
  3. 11.
    The ABCs of ESG Data with FactSet
    22:40
  4. 12.
    Around the World in 100 Jurisdictions
    31:06
  5. 13.
    Simplifying SFDR: Preparing for ESG and Level 1 & Level 2 of the EU Sustainable Finance Disclosure Regulation
    15:40
  6. 14.
    New Year, New Guidance: Setting Compliance Up for Success
    14:00
  7. 15.
    Transaction Reporting Reflections & Readiness for EMIR REFIT & MiFIR
    12:56
  8. 16.
    Regulatory Reporting Complexities & Case Studies
    12:01
  9. 17.
    Crystal Ball Gazing for Compliance & the SEC in 2021
    8:37
  10. 18.
    From Financials to Fish, What’s Next for Post-Brexit Equivalence?
    10:06
  11. 19.
    Solvency II Review and What's Next for Insurers?
    14:13
  12. 20.
    Brexit Part 2: Post-Brexit in the Fund Industry
    14:53
  13. 21.
    Brexit Part 1: The Advantages & Implications of Divergence
    8:55
  14. 22.
    Business Unusual or BAU: Why Incident Response Planning is Critical for Financial Services
    17:28
  15. 23.
    Sustaining Sustainability: What’s Next for ESG?
    15:21
  16. 24.
    The Next Generation of Compliance
    14:01
  17. 25.
    Risk Alert: Service Provider Due Diligence
    19:34
  18. 26.
    Who Ya Gonna Call When a Compliance Officer Needs Help?
    16:34
  19. 27.
    The COVID Coverage Financial Firms Need: A Cyber Insurance Policy
    14:47
  20. 28.
    Brexit: Deal or No Deal?
    18:44
  21. 29.
    California Love for Data Privacy
    20:03
  22. 30.
    Hold Your Position: The Automation & Optimization of Position Limit Monitoring
    15:09
  23. 31.
    Trust the Process: Risk Mitigation via Business Verification
    17:32
  24. 32.
    Buy vs. Build: How Managed Services Turn Compliance into a Strategic Advantage
    16:31
  25. 33.
    Compliance-as-a-Service: RegTech, Data and Managed Services
    17:36
  26. 34.
    Regulatory Soup – from UCITS KIID to PRIIPs KID
    12:22
  27. 35.
    A Retrospective on Form CRS & Reg BI and Regulator Insights
    13:36
  28. 36.
    How the Ghosts of Transaction Reporting Past Guide the Regulatory Future State
    14:36
  29. 37.
    Data Management and a Regulatory Book of Record
    16:48
  30. 38.
    The Art of Data, Innovation & Adapting to Change
    12:42
  31. 39.
    Compliance Culture in a Bottle
    12:40
  32. 40.
    Nobody Puts Compliance in a Corner
    10:36
  33. 41.
    Business Resilience & Regulatory Exams
    10:27
  34. 42.
    The Dark Side of Cybersecurity & BCP
    13:29
  35. 43.
    Iceberg Ahead: Navigating Regulatory Change
    6:51
  36. 44.
    2H 2020 Regulatory Outlook: Compliance Coffee Talk with aosphere LLP
    27:01
  37. 45.
    Risky Business: Compliance & Market Volatility
    9:16
  38. 46.
    Q4 Regulatory Reporting Milestones: SFTR and CME/NEX Abide and Brexit, Oh My!
    13:39
  39. 47.
    For CCOs, By CCOs: Assessing Your Compliance Program
    17:23
  40. 48.
    Short Selling Restrictions - Staying Ahead of the Regulatory Curve
    19:41
  41. 49.
    Monitoring the Fast-Changing Sensitive Industries Landscape
    23:54
  42. 50.
    Moving from a Tactical to a Strategic Approach to Regulatory Compliance
    21:50

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