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Welcome to the Compliance4 podcast with your host Elizabeth Hamilton-Guarino. Compliance4 is dedicated to helping you connect with the greatest minds in the regulatory, legal and compliance fields. Use the hashtag #Compliance4 to connect with us in social media. Visit us online at Compliance4.com and join your peers and our experts in our growing community.
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Susan Olson & Tamara Salmon - Top Compliance Trends & SEC Agenda for Funds
1:08:00
1:08:00
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Please welcome ICI's Susan Olson and Tamara Salmon to The Compliance4 Podcast. Susan and Tamara will join us for an hour to talk about the Top Compliance Trends and the SEC Agenda for Funds: What the Mutual Fund and ETF Industry is Watching. It’s a dynamic time in the world of fund compliance and regulation. Technology, innovation, and simplificati…
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David Lui - Compliance Controls for Advisers & Takeaways For Other Industries
1:02:00
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David Lui is the Co-Editor of Modern Compliance, an 835-page treatise focusing on best practices for compliance with American securities and financial services requirements. The book is published and distributed by Wolters Kluwer Financial Services and contains chapters written by 35 of the leading attorneys and compliance professionals in this are…
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Dave Carson - Ultimus Fund Solutions
1:07:00
1:07:00
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Dave joined Ultimus in 2013. As Director of Client Strategies, Dave's primary responsibilities include managing the series trust product line, providing expert assistance to investment managers considering starting a fund, and serving as senior relationship manager for certain clients. Dave has been in the financial services industry since 1981, an…
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Norm Champ is a partner in the New York office of Kirkland & Ellis LLP. Norm is a member of the Investment Funds Group. Previously, Norm was the director of the Division of Investment Management at the U.S. Securities and Exchange Commission (SEC). While at the SEC, Norm played a key role in the SEC’s completion of landmark reforms in 2014 to stren…
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