Securities and Exchange Commissioner Hester M. Peirce was interviewed on Episode 10 of The Securities Compliance Podcast: Compliance in Context™, co-sponsored by Calfee, Halter & Griswold LLP and the National Society of Compliance Professionals, by host Patrick D. Hayes, Senior Counsel and leader of Calfee’s Investment Management practice.
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 that has taken place 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.
Click below to listen to the full episode with Commissioner Peirce’s interview.