https://www.blogtalkradio.com/compliance4Welcome 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.enCopyright Elizabeth Hamilton-Guarino (C/O Blogtalkradio)Wed, 04 Sep 2019 12:15:00 GMTMon, 23 Jul 2018 15:00:00 GMTBusinessBlogTalkRadio Feed v2.0https://dasg7xwmldix6.cloudfront.net/hostpics/c2b591ab-beb3-4d80-8455-7c86f41ee3ab_compliance4_(1).jpghttps://www.blogtalkradio.com/compliance4Welcome 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.elizabethmguarino@gmail.comCompliance4compliance,financial services,Securities and Exchange Commission,money,mutual funds,businessCompliance4noCompliance4 is dedicated to helping you connect with the greatest minds in the regulatory, legal and compliance fields.episodichttps://www.blogtalkradio.com/compliance4/2018/07/23/susan-olson-tamara-salmon--top-compliance-trends-sec-agenda-for-fundsBusinesshttps://www.blogtalkradio.com/compliance4/2018/07/23/susan-olson-tamara-salmon--top-compliance-trends-sec-agenda-for-funds/#commentshttp://www.blogtalkradio.com/compliance4/2018/07/23/susan-olson-tamara-salmon--top-compliance-trends-sec-agenda-for-fundsMon, 23 Jul 2018 15:00:00 GMTSusan 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 ETF Industry is Watching. It’s a dynamic time in the world of fund compliance and regulation. Technology, innovation, and simplification are just a few of the big trends driving changes in how funds are serving investors. To find out what’s on the minds of regulators and those in the industry, I’m talking to two experts from the Investment Company Institute. First, ICI General Counsel Susan Olson will fill us in on the agenda for funds at the US Securities and Exchange Commission, including… * Planned changes to the approval process for exchange traded funds. * SEC plans for modernizing shareholder report delivery. * And, potential changes to fund investor disclosure documents. Then compliance maven and ICI Associate General Counsel Tamara Salmon will fill us on all of the latest mega-trends affecting the fund compliance world, including how fund compliance professionals are… * Embracing technology to sort through large data pools. * Preparing their firms for compliance with the SEC’s liquidity risk management program. * And, harnessing artificial intelligence and machine learning to increase efficiency. For More Info: Website: https://www.ici.org Facebook: https://www.facebook.com/ici.org Twitter: @ICI 01:08:00Compliance4noICI,Susan Olson,Tamara Salmon,Compliance,SECPlease 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 Tren0129ac80-df52-4c9f-a5ca-8e381239d29714fullhttps://www.blogtalkradio.com/compliance4/2018/04/30/david-lui--compliance-controls-for-advisers-takeaways-for-other-industriesBusinesshttps://www.blogtalkradio.com/compliance4/2018/04/30/david-lui--compliance-controls-for-advisers-takeaways-for-other-industries/#commentshttp://www.blogtalkradio.com/compliance4/2018/04/30/david-lui--compliance-controls-for-advisers-takeaways-for-other-industriesMon, 30 Apr 2018 17:00:00 GMTDavid Lui - Compliance Controls for Advisers & Takeaways For Other IndustriesDavid 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 area of practice. Lui edited the book with John H. Walsh, former Chief Counsel of the Securities and Exchange Commission’s Office of Compliance, Inspections and Examinations and Jason Mitchell, Chief Compliance Officer of a Investment Adviser in Minneapolis. David is a nationally recognized speaker on compliance issues. David earned a B.A. in History from Brown University and a Juris Doctor from the University of California, Hastings College of the Law. Modern Compliance: Best Practices for Securities and Finances The book helps compliance professionals understand the internal control structure and ethical considerations necessary to navigate one of the most challenging roles in American business today—that of a chief compliance officer at a financial services firm With this book, we’re giving compliance professionals the resources they need for the greatest chance of success. 01:02:00Compliance4noDavid Lui,Compliance,Modern Compliance,books,AuthorsDavid Lui is a compliance expert.d675ea84-463d-45ad-85f7-3dd01a577cf013fullhttps://www.blogtalkradio.com/compliance4/2018/02/20/dave-carson--ultimus-fund-solutions-1Businesshttps://www.blogtalkradio.com/compliance4/2018/02/20/dave-carson--ultimus-fund-solutions-1/#commentshttp://www.blogtalkradio.com/compliance4/2018/02/20/dave-carson--ultimus-fund-solutions-1Tue, 20 Feb 2018 19:00:00 GMTDave Carson - Ultimus Fund SolutionsDave 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, and has almost twenty years of fund and asset management experience. Dave has been Chief Compliance Officer for mutual fund families, registered investment advisers, and an ETF trust. He also served as Chief Operations Officer for a mutual fund family, and previously had senior management responsibility for fund and adviser marketing, fund wholesaling, transfer agency, shareholder servicing and adviser compliance. Earlier in his career Dave was a corporate IT audit manager, and managed holding company-level credit quality reporting. Dave co-founded and served as president of Advancing Fund Governance, a forum for fund trustees and senior officers. He is also a former trustee and secretary of the Greater Cincinnati Mutual Funds Association, and former trustee and board president of the Cincinnati Shakespeare Festival. Dave enjoys running, biking and critiquing cooking shows with his wife, daughter and adult sons, and reading history and biographies. He is a graduate of Kenyon College in Gambier, Ohio. 01:07:00Compliance4noDave Carson,Ultimus Fund Solutions,Director of Client Strategies,mutual funds,Registered Investment AdvisersDave Carson is the Director of Client Strategies for Ultimus521a3e35-62f0-4392-b1bd-6f3fa29f73a612fullhttps://www.blogtalkradio.com/compliance4/2018/02/01/norm-champ--kirkland-ellis--going-publicBusinesshttps://www.blogtalkradio.com/compliance4/2018/02/01/norm-champ--kirkland-ellis--going-public/#commentshttp://www.blogtalkradio.com/compliance4/2018/02/01/norm-champ--kirkland-ellis--going-publicThu, 01 Feb 2018 18:00:00 GMTNorm Champ - Kirkland & Ellis - Going PublicNorm 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. 00:58:00Compliance4noNorm Champ,Compliance,New York,Kirkland & Ellis,Investment Funds GroupNorm Champ is a partner in the New York office of Kirkland & Ellis LLP.619fe760-ffdb-452e-876f-fe9f1be3998a11full