Coffee & Regs

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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.

CSS (Compliance Solutions Strategies)


    • Dec 27, 2021 LATEST EPISODE
    • weekly NEW EPISODES
    • 15m AVG DURATION
    • 83 EPISODES


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    Latest episodes from Coffee & Regs

    Investment Monitoring Rewind & 2022 Preview

    Play Episode Listen Later Dec 27, 2021 23:12


    In this episode, CSS's Regulatory Content Manager Greg Hotaling and Product Manager Mike Marmo recap the world of investment monitoring in 2021 and give a sneak preview to what's next in shareholding disclosure and position limit monitoring in 2022.

    Evolutionary Changes in Regulatory Compliance in 2022

    Play Episode Listen Later Dec 20, 2021 7:45


    In this episode, CSS's SVP of Business Development Ashley Smith takes a trip around the world to discuss evolutionary changes for regulatory compliance in 2022 from SFDR and PRIIPs to AIFMD II and 18f-4.

    Trends in Transaction Reporting in 2022

    Play Episode Listen Later Dec 13, 2021 5:36


    In this episode, CSS's Transaction Reporting product team of Alexis Wiazmitinoff and Nicklas Nilsson make predictions on trends in transaction reporting in 2022 – from updates to SFTR to preparation for EMIR REFIT.

    The Perfect Storm – PRIIPs and SFDR in 2022

    Play Episode Listen Later Dec 6, 2021 7:27


    In this episode, CSS's Chief Product Officer Ronan Brennan makes predictions for PRIIPs and how the regulatory landscape in 2022 with PRIIPs and SFDR is reminiscent of 2018 with the implementation of PRIIPs and MiFID II.  

    What's Next for Cybersecurity in 2022?

    Play Episode Listen Later Nov 29, 2021 9:50


    In this episode, CSS's team of cybersecurity experts E.J. Yerzak and Mike Farrell recap the 2021 cybersecurity landscape and predict what's next for 2022.  

    Special Episode with the Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation

    Play Episode Listen Later Nov 22, 2021 31:19


    In this special episode, CSS's Director of Retail Wealth Manager Services, Korrine Kohm and William R. Carrigan, Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation discuss the latest news for registered investment advisers, including what will be required in 2022 surrounding continuing education requirements, the implementation of the new Marketing Rule and what's next for Form CRS.

    PRIIPs Delay, But Not Implementation Delays

    Play Episode Listen Later Nov 15, 2021 8:06


    In this episode, CSS's SVP of Business Development Ashley Smith joins Chief Product Officer Ronan Brennan to discuss the latest on the PRIIPs RTS, UK/EU divergence, data management complexities of the UCITS to PRIIPs transition and operational best practices to implement now. 

    CCOs & ESG – Preparing Now for What's Next

    Play Episode Listen Later Nov 8, 2021 7:41


    In this episode, CSS's team of CCOs Matt Calabro and Victoria Olson discuss how CCOs can prepare now for what's to come with ESG – from policies and procedures to marketing materials and disclosures.  

    Cybersecurity Training, Talent and Diversity

    Play Episode Listen Later Nov 1, 2021 23:40


    In this episode, Founder and CEO at CyberVista, Simone Petrella and CSS's Director of Cyber IT Services, E.J. Yerzak discuss the importance of cybersecurity training, education, how to recruit talent and diversity in cyber and why compliance and cybersecurity are synonymous.

    An ESG Fireside Chat with KPMG's Kay Swinburne

    Play Episode Listen Later Oct 25, 2021 14:08


    In this episode, Vice Chair of Financial Services at KPMG UK, and former parliamentarian, Dr. Kay Swinburne and CSS's Chief Product Officer Ronan Brennan discuss the latest on ESG, Level 2 SFDR and what investment managers need to be thinking about to prepare for 2022 implementation.

    Digital Assets: Trading & Compliance for Cryptocurrency

    Play Episode Listen Later Oct 18, 2021 21:11


    In this episode, Director of Registered Investment Company Services, Allison Fraser and Director of Broker-Dealer Services & Private Funds, John Gentile discuss the latest on digital assets and cryptocurrency. Are they considered securities, what does the SEC's risk alert mean for digital assets, and how should investment managers be thinking about cryptocurrency trading and compliance?

    Shareholding Disclosure Rules for Managed Holdings

    Play Episode Listen Later Oct 11, 2021 17:05


    In this episode, CSS's Regulatory Content Manager, Greg Hotaling and Head of Shareholding Disclosure at aosphere LLP, Faye Sutherland discuss shareholding disclosure rules for managed holdings and why obligations across jurisdictions can be even more difficult for investment managers than staying on top of regulatory change. 

    Cybersecurity Awareness Month – Reducing Cyber Incidents Through Vendor Due Diligence

    Play Episode Listen Later Oct 4, 2021 10:41


    In this episode, CSS's team of cybersecurity experts E.J. Yerzak and Mike Farrell kick off Cybersecurity Awareness Month discussing the importance of vendor due diligence and the role that service providers can play in cyber incidents.

    Regulator Insights & SEC Exam Priorities

    Play Episode Listen Later Sep 27, 2021 22:10


    In this episode, CSS's team of CCO experts Korrine Kohm and Dan Haynes discuss regulatory examinations, SEC priorities and trends and insights into how compliance teams can be more proactive before the regulators come knocking.

    The Latest News & Analysis on the PRIIPs RTS

    Play Episode Listen Later Sep 20, 2021 10:33


    In this episode, CSS's Chief Product Officer Ronan Brennan does a technical deeper dive into the latest news on the PRIIPs RTS, regulatory timelines and the challenges stemming from divergence between the EU and UK. 

    Mythbusting ESG & FAQs Part 2

    Play Episode Listen Later Sep 13, 2021 11:36


    In this second episode of a special two-part series on ESG, CSS's Regulatory Content Manager, Greg Hotaling and ESG Specialist, Marye Cherry demystify the complicated world of ESG including the latest regulatory developments, the complexity of ESG data, and what ESG actually means for investment managers.     

    Mythbusting ESG & FAQs Part 1

    Play Episode Listen Later Sep 6, 2021 12:16


    In this episode of a special two-part series on ESG, CSS's Regulatory Content Manager, Greg Hotaling and ESG Specialist, Marye Cherry demystify the complicated world of ESG including the latest regulatory developments, the complexity of ESG data, and what ESG actually means for investment managers.     

    SFDR Level 2 RTS Delays and Latest Developments

    Play Episode Listen Later Aug 30, 2021 9:17


    In this episode, CSS's Head of ESG, Marye Cherry discusses the latest updates on ESG, including the delay to the SFDR Level 2 RTS and the impact that will have on financial firms.   

    The Mood of Compliance

    Play Episode Listen Later Aug 23, 2021 15:43


    In this episode, CSS's Executive Director, Jackie Hallihan and Senior Consultant, Adam DiPaolo discuss observations on the mood of compliance, with predictions of heavy regulatory activity, and key areas of focus including enforcement, ESG, cryptocurrency, whistleblowers and cybersecurity. 

    The RIA Wild West of Going Independent

    Play Episode Listen Later Aug 16, 2021 14:09


    In this episode, CSS's Director of Retail Wealth Manager Services, Korrine Kohm and Founder of Transition To RIA, Brad Wales discuss the path to becoming an independent registered investment adviser, best practices to get started on your journey and compliance pitfalls to avoid.  

    Preparing Private Funds for the Marketing Rule

    Play Episode Listen Later Aug 9, 2021 27:32


    In this episode, our team of private funds experts, John Gentile, Eugenie Warner and Adam DiPaolo, discuss how private funds will be affected by the new Marketing Rule and how they can start preparing for implementation now. 

    Code of Ethics: A Win-Win-Win for Compliance, Employees and the SEC

    Play Episode Listen Later Aug 2, 2021 27:21


    In this episode, our team of former CCOs, Dan Haynes and Victoria Olson discuss why a code of ethics tool is not only beneficial to compliance but to employees and to stay on the SEC's good side for upcoming exams.

    Data Privacy & Building Compliance into the Product Development Lifecycle

    Play Episode Listen Later Jul 26, 2021 16:40


    In this episode, CSS's Director of Cyber IT Services, E.J. Yerzak sits down with Co-Founder and COO of TerraTrue, Chris Handman to discuss data privacy and how compliance can keep up with the ambitions of product teams by building data privacy controls into the product development lifecycle.

    EMIR REFIT & Regulatory Harmonization

    Play Episode Listen Later Jul 19, 2021 15:51


    In this episode, our team of global transaction reporting experts, Alexis Wiazmitinoff and Nicklas Nilsson discuss changes coming to EMIR REFIT in 2022 and beyond. With the markets moving towards a harmonization of data elements across regulations,  how will that provide regulators with a more complete and holistic view of OTC derivatives and improve operational efficiency for financial firms?

    Ransomware Attacks – Cybersecurity Concerns & Best Practices to Mitigate Risk

    Play Episode Listen Later Jul 12, 2021 17:34


    In this episode, our team of cybersecurity experts, E.J. Yerzak and Mike Farrell discuss the latest ransomware attacks in the news, best practices to keep your data secure and hackers out, and what to do first if your firm is hit by an attack.

    Why Outsourced Compliance is No Longer a Dirty Word

    Play Episode Listen Later Jul 5, 2021 16:15


    In this episode, former CCOs Korrine Kohm and Ariana Monchick discuss compliance management and how to expand and optimize your program leveraging tools, technology and outsourced compliance services.  

    Betting on Bitcoin: Cryptocurrency & Digital Assets 101 for Investment Managers

    Play Episode Listen Later Jun 28, 2021 16:55


    In this episode, CSS's Director of Broker-Dealer Services and Private Funds John Gentile sits down with Chief Executive Officer & Chief Investment Officer of Off the Chain Capital, Brian Estes to discuss the world of cryptocurrency and Bitcoin. Is this investing or gambling, is it an asset class, and why should investment advisers and broker-dealers be thinking about adding digital assets to their clients' portfolios?

    Expanding Your Compliance Program Through Trade Surveillance

    Play Episode Listen Later Jun 21, 2021 15:32


    In this episode, CSS's former CCOs Allison Fraser and Matt Calabro sit down to discuss trade surveillance and how CCOs can mitigate the risk factors through the trade lifecycle – from pre-trade to trade execution and post-trade. They'll also dive into how compliance together with operations and third parties can build out a robust and automated trade surveillance program. 

    Keeping Pace with Position Limits & Pre-Trade Monitoring

    Play Episode Listen Later Jun 14, 2021 23:32


    In this episode, CSS's Regulatory Content Manager Greg Hotaling sits down with Head of Product for CSS's Investment Monitoring solution, Mike Marmo to discuss position limit changes coming soon in the U.S. and EU and how pre-trade monitoring is becoming a must-have for investment managers. 

    Getting a Head Start on the SEC Derivatives Rule 18f-4

    Play Episode Listen Later Jun 7, 2021 17:54


    In this episode, CSS's Director of Registered Investment Company Services Allison Fraser sits down with Partner at Morgan Lewis, Laura Flores to discuss the SEC regulatory framework for derivatives use with the new 18f-4 Rule. Even though compliance plans do not have to be fully implemented until August 2022, fund managers need to start preparing now for a compliant derivatives risk management program, calculating daily value-at-risk (VaR) measurements and performing stress tests.

    ESG and the Impact of the EU SFDR on U.S. Asset Managers

    Play Episode Listen Later May 31, 2021 20:54


    In this episode, CSS’s Head of ESG Marye Cherry sits down with corporate attorney at Scale LLP, Adam Johnson to discuss the evolving ESG landscape from the U.S. perspective, including the impact of the EU SFDR on U.S. asset managers and the U.S. regulatory position on ESG.

    Private Funds 101 – From SEC Registration to Compliance Rules

    Play Episode Listen Later May 24, 2021 23:31


    In this episode, CSS’s Director of Private Funds and a former SEC regulator, John Gentile sits down with Senior Vice President of Ultimus LeverPoint Private Fund Solutions, Andrew Jones to discuss the world of private fund managers. The round-robin discussion covers SEC registration to identifying as an Exempt Reporting Adviser, the impact of the new Marketing Rule on private funds and compliance best practices for fund admins.

    Special Episode: Spotlighting the Expect Miracles Foundation & Social Distance Challenge

    Play Episode Listen Later May 17, 2021 14:05


    In this special episode, CSS’s Chief Revenue Officer Terence Faherty takes a break from compliance and sits down with Managing Director of Stewardship at the Expect Miracles Foundation and Founder of The SamFund, Samantha Watson to talk about a dedicated commitment of the financial services community to bring meaningful resources to research and people impacted by cancer.

    The Facts on FINRA & Capital Acquisition Brokers

    Play Episode Listen Later May 10, 2021 11:52


    In this episode, CSS’s Director of Broker-Dealer Services and a former regulator, John Gentile and Executive Director, Jackie Hallihan sit down to discuss FINRA’s rule book regarding capital acquisition brokers. These are broker-dealers that limit their business to certain capital raising, mergers and acquisitions and corporate financing activities, so before you go down that regulatory path, it’s important to understand the rules and the benefits of CAB registration.

    New Rule Roadmap: Navigating and Implementing the Marketing Rule

    Play Episode Listen Later May 3, 2021 19:08


    In this episode, former CCOs and CSS’s compliance services experts in retail and institutional wealth manager services, Korrine Kohm and Matt Calabro discuss a roadmap on navigating the new Marketing Rule, building an action plan and leveraging managed services and technology to help remove compliance complexities from the rule. 

    Managing Cyber Insurance Risk

    Play Episode Listen Later Apr 26, 2021 12:47


    In this episode, CSS’s Director of Cyber IT Services E.J Yerzak sits down with AVP, Program Executive at Varney Agency and cyber insurance expert, Nick Weiner to discuss the recent NYDFS guidance for insurers that underwrite cyber insurance policies. The guidance includes a Cyber Insurance Risk Framework that provides best practices for managing cyber insurance risk amid concerns of systemic and “silent” risks to the financial sector.

    ESMA Updates, MiFIR & Transaction Reporting Trends

    Play Episode Listen Later Apr 19, 2021 11:29


    In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Regulatory Specialist Nicklas Nilsson to discuss the latest updates from ESMA on MiFIR in the world of transaction reporting and the trend to consolidate regulatory reporting and data going forward. 

    Mastering the Marketing Rule

    Play Episode Listen Later Apr 12, 2021 10:53


    In this episode, CSS’s Co-Executive Directors of Compliance Services Keith Marks and Jackie Hallihan sit down to discuss actionable takeaways on implementing the SEC’s new Marketing Rule for registered investment advisers within the next 18 months.

    Preparing Now for a PRIIPs KID Project Plan

    Play Episode Listen Later Apr 5, 2021 15:06


    In this episode, CSS’s resident document production experts Shane O’Sullivan and Charles Seigle-Goujon sit down to discuss how to prepare now for the UCITS to PRIIPs transition using best practices from the insurance industry and getting data governance procedures in place today. 

    Pension Funds & Independent Compliance Reviews

    Play Episode Listen Later Mar 29, 2021 12:52


    In this episode, former Chief Compliance Officers Matt Calabro and Allison Fraser sit down to discuss public pension fund independent compliance reviews. Pension fund managers have an extensive due diligence process to screen potential investment advisers for their programs. Today, this due diligence goes beyond examining an investment adviser’s investment process, research and execution capabilities to also include evaluating their operational and compliance excellence and cybersecurity controls.

    The Compliance Playbook for Regulatory Change

    Play Episode Listen Later Mar 22, 2021 14:16


    In this episode, former Chief Compliance Officers Allison Fraser and Victoria Olson sit down to discuss a playbook for regulatory change. With new regulations like the Marketing Rule coming, how do compliance teams prepare, communicate changes to the business and translate regulatory requirements into operational policies and procedures?

    For CCOs, By CCOs: Tips to Mitigate Compliance Liability

    Play Episode Listen Later Mar 15, 2021 17:38


    In this episode, former Chief Compliance Officers Korrine Kohm and Ariana Monchick discuss CCO liability, ways to avoid enforcement and best practices for compliance teams to mitigate risk and navigate regulatory complexities.

    RegTech in Five Years: Digitization and Datafication

    Play Episode Listen Later Mar 8, 2021 16:38


    In this episode, CSS’s President and Founder John Lee joins Natalie Silverman to discuss what the future of RegTech looks like in five years, from innovation in machine-learning and AI from both RegTech firms and the regulators, to the digitization and datafication of financial services.

    The ABCs of ESG Data with FactSet

    Play Episode Listen Later Mar 1, 2021 22:40


    In this episode, CSS’s Regulatory Guidance and ESG Specialist Marye Cherry sits down with Vanessa Barnett, Senior Vice President, Global Head of Environmental, Social, and Governance at FactSet to navigate the latest news on the EU Sustainable Finance Disclosure Regulation. These experts of ESG discuss the newly released details on the RTS for Level 2 SFDR, how financial firms can manage their ESG data and the impending March 10 deadline for Level 1.

    Around the World in 100 Jurisdictions

    Play Episode Listen Later Feb 22, 2021 31:06


     In this episode, CSS’s Regulatory Content Manager Greg Hotaling sits down with Faye Sutherland, Head of Shareholding Disclosure of aosphere LLP to discuss the 2021 watchlist in the world of shareholding disclosure – from foreign direct investment and shareholder activism to updates on short selling restrictions. 

    Simplifying SFDR: Preparing for ESG and Level 1 & Level 2 of the EU Sustainable Finance Disclosure Regulation

    Play Episode Listen Later Feb 15, 2021 15:40


    In this episode, CSS’s ESG experts Marye Cherry and Ronan Brennan talk about the latest developments with the EU Sustainable Finance Disclosure Regulation. The ESAs have published the much-anticipated final report and draft RTS on disclosures under the EU SFDR while there’s still the impending 10 March deadline for high-level, principles-based compliance with the Level 1 SFDR.

    New Year, New Guidance: Setting Compliance Up for Success

    Play Episode Listen Later Feb 8, 2021 14:00


    In this episode, CSS’s team of former Chief Compliance Officers Matt Calabro and Dan Haynes take a look at the global regulatory agenda in 2021 and provide practical tips and tricks to set compliance teams up for success.

    Transaction Reporting Reflections & Readiness for EMIR REFIT & MiFIR

    Play Episode Listen Later Feb 1, 2021 12:56


    In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Regulatory Specialist Nicklas Nilsson for a look back into the world of transaction reporting in 2020 - from uncertainties in the market to new regulations - and a look forward at changes to EMIR REFIT and MiFID II / MiFIR coming in 2022.

    Regulatory Reporting Complexities & Case Studies

    Play Episode Listen Later Jan 25, 2021 12:01


    In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Client Officer Jac Dunne to take a look at some implementation case studies to uncover the challenges of regulatory reporting and how asset managers and fund administrators can optimize and scale their regulatory operations more efficiently.

    Crystal Ball Gazing for Compliance & the SEC in 2021

    Play Episode Listen Later Jan 18, 2021 8:37


    In this episode, CSS’s Executive Director Jackie Hallihan sits down with Senior Consultant Adam DiPaolo to read the tea leaves on 2021. The compliance duo discusses changes to the SEC itself to regulations, rule-making, examination and enforcement trends and how to prepare for the predictability and unpredictability of compliance in the new year.

    From Financials to Fish, What’s Next for Post-Brexit Equivalence?

    Play Episode Listen Later Jan 11, 2021 10:06


    In this episode, CSS’s SVP of Business Development Ashley Smith joins Chief Product Officer Ronan Brennan to discuss a post-Brexit world for financial services, the end of passporting, what's next for equivalence and the upcoming March 2021 deadline.

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