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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.
Norm Champ - Kirkland & Ellis - Going Public
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 strengthen the $3 trillion money market fund industry, and led important structural and policy changes in the Division of Investment Management. He was the leader of interactions with the Financial Stability Oversight Council as the Council turned its attention to whether asset management firms are ?systemically important.? He also worked on crisis management efforts at securities firms to protect customers of those firms. Norm also headed the creation of Guidance Updates and Senior Level Engagement initiatives, both of which were established to provide transparency to the industry about the priorities and goals of the SEC and to create a dialogue between policymakers and the senior management of asset management firms. Norm's book, Going Public, about his experiences at the SEC is available on Amazon. For more information on Going Public, visit goingpublicthebook.com Prior to becoming the Director of the Division of Investment Management, he was the Deputy Director of the SEC's Office of Compliance, Inspections and Examinations (OCIE) and the Associate Regional Director for Examinations in the SEC's New York Regional Office. In these capacities he supervised SEC examinations of investment advisors, investment companies, broker-dealers, national securities exchanges, credit rating agencies, clearing firms and other market participants.
2/1/2018 6:00:00 PM
Susan Olson & Tamara Salmon - Top Compliance Trends & SEC Agenda for Funds
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...
7/23/2018 3:00:00 PM
David Lui - Compliance Controls for Advisers & Takeaways For Other Industries
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...
4/30/2018 5:00:00 PM
Dave Carson - Ultimus Fund Solutions
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...
2/20/2018 7:00:00 PM
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