The show that helps you maximize your wealth by turning complex financial situations into actionable advice. On Your Money. Your Mission., we answer the questions you’ve been asking about -- financial planning, investing, retirement and everything in between. Whether you’re navigating the complexities of the market or looking for the best ways to save or spend your money, tune in to hear from experienced financial advisors with JFG. Walk away from each episode with savvy tips and financial t ...
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Content provided by Patrick Hayes. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Patrick Hayes or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://podcastplayer.com/legal.
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S6:E3 | The Impact of Mentorship in Compliance | Compliance in Context
Manage episode 508323430 series 2933235
Content provided by Patrick Hayes. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Patrick Hayes or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://podcastplayer.com/legal.
Welcome back to the Compliance In Context podcast! On today’s show, we will be focusing on the impact of mentorship on compliance, and how as mentors and mentees, we can become the best version of our compliance-selves. To help guide us through the conversation, we are very pleased to welcome back to the show, attorney and former regulator (and insightful mentor), Richard Szuch. In our Headlines section, we look a notable decline in SEC enforcement actions in 2025 and review the recently announced rulemaking agenda for the SEC in upcoming months,, and finally, we close up today with another installment of Outtakes, where we see continued focus from SEC Enforcement on the Marketing Rule and accurate disclosure of conflicts of interest.
Show
Headlines
- SEC enforcement actions drop sharply, with focus shifting to investor fraud.
- US SEC unveils agenda to revamp crypto policies, ease Wall Street rules
Interview with Richard Szuch
- How has mentorship shaped your career as a legal and securities compliance professional?
- Reviewing the importance of mentoring and mentorship in compliance
- Understanding the benefits received from mentorship for both the mentee and the mentor
- What were some of the lessons that you received early on as either a mentee or mentor that inspired you in this area?
- What are three questions every compliance professional should ask themselves?
- How does mentorship impact the overall productivity of a compliance team?
- How to find professional fulfillment in your legal/compliance role
- For those that are considering taking on a role as mentor or mentee, what additional advice or words of encouragement would you give them?
Outtakes
- SEC Charges RIA with Marketing, Books and Records, and Compliance Rule Violations
Quotes
16:00 – “Like at the prosecutor’s office. I remember John O’ Reilly saying to me once, ‘Richard, you do not need to be smart enough to know the answer to every question, but you do need tobe smart enough to know when to ask a question.’ And I think the same goes true with navigating with the people you work with.” - Richard Szuch
28:06 – “There is the law, there are the facts, and then there’s the application of judgement to what those facts mean in the legal construct. Same exact thing in compliance. There are the regs. There is the activity, you know, going on, there’s maybe not a bright line answer, and that’s when, you know, having help from older folks or people more experienced than you is really what you’re looking for, or at least as experienced as you.” - Richard Szuch
75 episodes
Share
Manage episode 508323430 series 2933235
Content provided by Patrick Hayes. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Patrick Hayes or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://podcastplayer.com/legal.
Welcome back to the Compliance In Context podcast! On today’s show, we will be focusing on the impact of mentorship on compliance, and how as mentors and mentees, we can become the best version of our compliance-selves. To help guide us through the conversation, we are very pleased to welcome back to the show, attorney and former regulator (and insightful mentor), Richard Szuch. In our Headlines section, we look a notable decline in SEC enforcement actions in 2025 and review the recently announced rulemaking agenda for the SEC in upcoming months,, and finally, we close up today with another installment of Outtakes, where we see continued focus from SEC Enforcement on the Marketing Rule and accurate disclosure of conflicts of interest.
Show
Headlines
- SEC enforcement actions drop sharply, with focus shifting to investor fraud.
- US SEC unveils agenda to revamp crypto policies, ease Wall Street rules
Interview with Richard Szuch
- How has mentorship shaped your career as a legal and securities compliance professional?
- Reviewing the importance of mentoring and mentorship in compliance
- Understanding the benefits received from mentorship for both the mentee and the mentor
- What were some of the lessons that you received early on as either a mentee or mentor that inspired you in this area?
- What are three questions every compliance professional should ask themselves?
- How does mentorship impact the overall productivity of a compliance team?
- How to find professional fulfillment in your legal/compliance role
- For those that are considering taking on a role as mentor or mentee, what additional advice or words of encouragement would you give them?
Outtakes
- SEC Charges RIA with Marketing, Books and Records, and Compliance Rule Violations
Quotes
16:00 – “Like at the prosecutor’s office. I remember John O’ Reilly saying to me once, ‘Richard, you do not need to be smart enough to know the answer to every question, but you do need tobe smart enough to know when to ask a question.’ And I think the same goes true with navigating with the people you work with.” - Richard Szuch
28:06 – “There is the law, there are the facts, and then there’s the application of judgement to what those facts mean in the legal construct. Same exact thing in compliance. There are the regs. There is the activity, you know, going on, there’s maybe not a bright line answer, and that’s when, you know, having help from older folks or people more experienced than you is really what you’re looking for, or at least as experienced as you.” - Richard Szuch
75 episodes
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Similar to The Securities Compliance Podcast: Compliance In Context
The show that helps you maximize your wealth by turning complex financial situations into actionable advice. On Your Money. Your Mission., we answer the questions you’ve been asking about -- financial planning, investing, retirement and everything in between. Whether you’re navigating the complexities of the market or looking for the best ways to save or spend your money, tune in to hear from experienced financial advisors with JFG. Walk away from each episode with savvy tips and financial t ...
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continue reading
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…
continue reading
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Kara Goldin, Founder of Hint and Author of the WSJ Best Seller Undaunted, brings listeners real, unfiltered conversations with today’s boldest entrepreneurs, leaders, disruptors, and change-makers on The Kara Goldin Show. From overcoming setbacks to building iconic brands, Kara dives deep into the stories of those who dared to do things differently. Guests like Tony Robbins (entrepreneur, author), Chip Wilson (Lululemon), Guy Kawasaki (Apple, Canva), Mindy Grossman (WW), and Amy Errett (Madi ...
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What if it was easy to create a $1M digital business you could be proud of? The path lies in creating people magic. Gina Bianchini, founder and CEO of Mighty Networks, has helped over 10,000 entrepreneurs, brands, and creators grow incredible businesses that put people first and generate millions in profit. Now she’s bringing the secrets of the most successful communities directly to you. In this series, Gina will show you how to build a community so valuable you can charge for it and so wel ...
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continue reading
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…
continue reading
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continue reading
How can business help solve society’s biggest challenges? Welcome to Take on Tomorrow, the award-winning podcast from PwC that examines the biggest problems facing society and the role business can—and should—play in solving them. Hosts Femi Oke and Lizzie O’Leary talk to industry innovators, tech trailblazers and visionary leaders from around the globe about timely topics: from the climate transition to AI and data; and from the future of food to how we build, move and power the world.
…
continue reading
It didn’t all change in March 2020. Not really. The UK high street has been in the throes of a gradual revolution for decades. From the rise of ecommerce, to the birth of mobile, social commerce, and a growing emphasis on experience, change has been underway for a while. In fact for many, the pandemic has acted as a wake-up call. Digital transformation was no longer a ‘nice to have’ but a matter of survival. Necessity sparked innovation and customers are enjoying more flexibility and conveni ...
…
continue reading
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