Don’t Miss Out on this NSCP EXCLUSIVE!
The Securities Compliance Podcast: Compliance in Context has launched its Master Class Mini-series!
Host Patrick Hayes (Senior Counsel, Calfee), and his special guests have performed a can’t miss review of the seminal rulemaking you must hear!
The Reg BI Master Class Mini-series is designed for listeners of all backgrounds and experience types. Whether you’re a new compliance professional interested in gaining a greater understanding of the technical components of the rule, or a seasoned veteran looking to identify the finer points and subtle nuance seen in the practical application of the rule, this is the class for you.
This Five Part Mini-series includes:
- Episode 1 (Intro | Disclosure Obligation):
Ben Marzouk, Counsel, Eversheds Sutherland + Elizabeth Hansen, SVP and CCO, Waddell & Reed
- Episode 2 (Care Obligation):
Issa Hanna, Counsel, Eversheds Sutherland + Jane Riley, CCO, The Leaders Group
- Episode 3 (Conflicts of Interest Obligation):
Miriam Lefkowitz, Principal, Miriam Lefkowitz, LLC + Rob Saperstein, Global Head of Compliance, Guggenheim Partners
- Episode 4 (Compliance Obligation):
Richard Kerr, Partner, K&L Gates + Alice Palmer, RPS Chief Counsel, Lincoln Financial Group
- Episode 5 (Exam Preparedness):
Tom Selman, Founder, Scopus Financial Group + Nick Losurdo, Partner, Goodwin Procter + Jeannie Lewis, Senior Compliance Counsel, William Blair
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