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SEC-ing the future: Regulatory compliance and insider trading

In this week's episode (#65) of the Get Hired Up podcast, we launched a three-part series on financial services regulatory compliance.

This episode focuses on insider trading (and includes a case study). Upcoming episodes will focus on compliance related to artificial intelligence and cyber security. 

The case study involves the use of information taken from a friend's laptop computer while working from home during the pandemic. The fines levied for insider trading were in the hundreds of thousands of dollars--careers ruined. 

My conversation with industry experts

For a discussion of the case, I was delighted to speak with Amy Kadomatsu and Bill Carrigan of COMPLY. As a global market leader in regulatory compliance solutions, COMPLY combines the power of regulatory technology, services and education to empower chief compliance officers and compliance professionals to easily navigate regulatory landscapes. 

Amy is the CEO of COMPLY and Bill Carrigan is a Director of Compliance for the company. It was such a pleasure meeting Amy at the Association for Corporate Growth’s Women of Leadership Event in New York City in April. 

Amy has long served the financial services industry. Prior to joining COMPLY, Amy was the President of ROKO Labs, a Managing Director at S&P Global and the Chief Product Officer at TheMarkets.com, which Capital IQ acquired. 

Bill Carrigan is a Director of Compliance for COMPLY. Prior to COMPLY, he served as the Deputy Commissioner of the Vermont Department of Financial Regulation Securities Division and was also the Investor Education Coordinator. Bill is an adjunct professor at Champlain College in Vermont where he teaches white collar crime in the Cyber Forensics and Digital Investigations Program.

I hope you enjoy the first episode of the three-part series.

Upcoming podcast topics

• Corporate Governance & Emerging Technologies
• IPO Options for Growing Tech Companies
• Trends in Financial Compliance 
• Advanced Communications (voice)
• Career Paths in Elite Cuisine

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Ruby, the cottage dog ...

Summer in Nova Scotia (CANADA) is slowly waning. Here is Ruby-Muppet (a Caribbean rescue), enjoying solitude last evening.

Despite the cooling temperatures, the swimming is lovely. Last evening, Allison (daughter) and I (Maureen) swam at sunset as Ruby watched on. 

We swam to the floating dock (photo below) and dove from the platform. I love the cool and quiet darkness of the water when I dive down. 

I hope you're enjoying your day, wherever you are. Have an optimized week ahead. 

Maureen Farmer is a CEO advisor and personal branding strategist for next-level executives, investors, and board nominees. 

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