HeyJaredThe Securities Compliance Podcast: Compliance In Context
Meet Patrick Hayes, investment management counsel at Calfee, Halter & Griswold and your host for The Securities Compliance Podcast presented by the National Society of Compliance Professionals.
- Indexed episodes, last 90 days
- 3
- Latest publication
- Sep 23, 2026
- Audience
- Checking…
- Earliest in this view
- Jul 14, 2026
Latest episodes
S6:E13 | Introducing the NSCP Compliance Mapping Tool and Previewing the National Conference | Compliance in Context (opens the original)
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Welcome back to the Compliance In Context podcast! On today’s show, we do a deep dive into a brand new compliance mapping tool developed by the NSCP, review some of the exciting developments happening at the organization over the last 12 months, and preview the upcoming 2026 National Conference. In our Headlines section, the SEC recently proposes rescinding the advisor pay-to-play rule. And finally, we close up today with another installment of Outtakes, where the SEC recently sued 38 purported
S6:E12 | How Do We Develop Compliance Officers In An AI Era? | Compliance in Context (opens the original)
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Welcome back to the Compliance In Context podcast! On today’s show, we dive into the conversation on how firms continue to develop legal practitioners and compliance officers in an AI era. In our Headlines section, the SEC Establishes a Financial Reporting and Accounting Unit Within Division of Enforcement and the SEC’s RegFlex Agenda SEC Agenda Targets Crypto, Climate Rescission, Treasury Clearing, and finally, we close up today with another installment of What’s On My Mind, where we review a r
S6:E11 | A Comprehensive Look at Ponzi Schemes – Lessons From The Front Lines | Compliance in Context (opens the original)
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Welcome back to the Compliance In Context podcast! On today’s show, we will be providing a comprehensive, deep-dive look at Ponzi schemes—what are they, historical facts and impact, themes and trends, and some best practices to keep in mind to help prevent these types of frauds from occurring inside your firms and with any underlying clients. To help guide us through this important topic and share some fantastic insights for our listeners, we welcome in Daniel Brinks, a Partner with StoneTurn an
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