Cincinnati, Jan. 19, 2022 (GLOBE NEWSWIRE) Patrick D. Hayes, Partner and Investment Management practice leader at the law firm of Calfee, Halter &.
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SEC Commissioner Hester M. Peirce Provides Insights as Guest Speaker on The Securities Compliance Podcast: Compliance in Context
01/19/2021 | 04:06pm EDT
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Cincinnati, Jan. 19, 2021 (GLOBE NEWSWIRE) Hester M. Peirce, Commissioner with the Securities and Exchange Commission, was interviewed on Episode 10 of
Peirce spoke in-depth on a variety of topics such as Chief Compliance Officer (CCO) liability, outsourced CCOs, the new Marketing Rule, and cryptocurrencies. She also spoke about the new presidential administration, which will bring in a new SEC Chair and Head of Enforcement, and whether she anticipates a slowdown in dialogue between the regulators and the industry on the issue of CCO liability.
Peirce spoke in-depth on a variety of topics such as Chief Compliance Officer (CCO) liability, outsourced CCOs, the new Marketing Rule, and cryptocurrencies. She also spoke about the new presidential administration, which will bring in a new SEC Chair and Head of Enforcement, and whether she anticipates a slowdown in dialogue between the regulators and the industry on the issue of CCO liability.
The Securities Compliance Podcast: Compliance in Context is designed as a personal master class for the securities industry s legal and compliance professionals. The podcast embodies Hayes passion for combining the technical expertise shared by industry thought leaders and innovators with the practical experience of industry professionals and key decision makers.