The financial services industry is rapidly changing. Each week our consultants share their thoughts on regulatory news and industry hot topics. Our insights are gained through our experiences as successful industry practitioners and from working with hundreds of clients. Whether you are an executive trying to stay ahead of the curve or are new to the industry and want to learn more, this is the podcast for you.
Can’t find a topic? Click here to see a complete list of episodes.

Join our experts Tim Buckler, Ed Wegener and Buddy Doyle as they discuss ways your firm can mitigate cyber threats arising from
your vendors and when you are changing technology platforms.
















new podcast mini-series, CCO – Behind the Scenes (Episode 1). Jeffrey shares his vast experience as both a CCO for several global investment firms and Senior Counsel for the SEC’s Division of Enforcement. He literally helped write the book on modern regulatory compliance. Being CCO is more than just checking boxes. There are office politics to navigate, nuances to dealing with regulators and board members, and of course, ethical issues. Listen and learn in these short discussions as Jeffrey shares his real experiences and lessons learned from his decades in the industry. Some things you just won’t get from a textbook, such as cultivating the “tone at the top,” document production during an exam, escalation, dealing successfully with Boards, and repeat violations, to name a few.









