Calfee and National Society of Compliance Professionals Launch Season 2 of The Securities Compliance Podcast

CINCINNATI, June 30, 2021 – The law firm of Calfee, Halter & Griswold has announced the launch of Season 2 of the Securities Compliance Podcast: Compliance in Context™ co-sponsored by Calfee and the National Society of Compliance Professionals (NSCP), a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry. The podcast is hosted by Patrick D. Hayes, Senior Counsel and leader of Calfee's Investment Management practice and member of the NSCP Board of Directors.

The Securities Compliance Podcast: Compliance in Context is designed as a personal master class for the securities industry’s legal and compliance professionals. The podcast embodies Hayes’ passion for combining the technical expertise shared by industry thought leaders and innovators with the practical experience of risk-takers and key decision makers. The podcast was recently named one of the "Top 20 Securities Podcasts of 2021" by Welp Magazine.

Season 1, which launched in October 2020, featured interviews with high-profile professionals such as Hester M. Peirce, Commissioner on the Securities and Exchange Commission, where she spoke in-depth on a variety of topics such as Chief Compliance Officer (CCO) liability, outsourced CCOs, the new Marketing Rule, and cryptocurrencies.

The first five episodes of Season 2 are available to listen and download on Apple Podcast, Google Podcast, Spotify and Stitcher and include featured interviews with Mark Kim, CEO of the MSRB, and other prominent regulators and industry professionals.

Later this summer, the podcast will launch the “Regulation Best Interest Master Class,” a five-part miniseries featuring over 10 industry experts analyzing each of the four components of the seminal rulemaking a year after its effective date, and a fifth and final episode focused on exam preparation that includes a panel with the former executive vice president of FINRA. The Reg BI Master Class will be exclusive to NSCP membership.

ABOUT CALFEE, HALTER & GRISWOLD LLP

Calfee, Halter & Griswold LLP is a full-service corporate law firm with 160 attorneys and offices in Cleveland, Columbus, Cincinnati, Indianapolis, New York and Washington, D.C. Calfee has been recognized as a leading law firm by Chambers USA 2021 in Antitrust, Banking & Finance, Corporate/M&A, Employee Benefits & Executive Compensation, General Commercial Litigation, Insurance, Intellectual Property, Labor & Employment, Natural Resources & Environment, and Real Estate and by Chambers HNW in Private Wealth Law. The firm serves clients in the Midwest, nationally and globally in the areas of Business Restructuring and Insolvency, Corporate and Finance, Employee Benefits and Executive Compensation, Energy and Utilities, Estate and Succession Planning and Administration, Government Relations and Legislation, Intellectual Property, Labor and Employment, Litigation, and Real Estate. A founding member of Lex Mundi, Calfee offers international representation through a network of independent law firms with access to 22,000 attorneys located in more than 125 countries. Additional information is available at Calfee.com.

ABOUT NATIONAL SOCIETY OF COMPLIANCE PROFESSIONALS

The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry. NSCP membership provides financial services compliance professionals with a wide range of resources including a community of like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests. Over 30 years since its inception, NSCP has grown to 2,000+ members with a plethora of educational offerings and networking opportunities for its members. Additional information is available at NSCP.org.