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Headlines
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SEC enforcement actions drop sharply, with focus shifting to investor fraud.
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US SEC unveils agenda to revamp crypto policies, ease Wall Street rules
Interview with Richard Szuch
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How has mentorship shaped your career as a legal and securities compliance professional?
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Reviewing the importance of mentoring and mentorship in compliance
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Understanding the benefits received from mentorship for both the mentee and the mentor
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What were some of the lessons that you received early on as either a mentee or mentor that inspired you in this area?
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What are three questions every compliance professional should ask themselves?
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How does mentorship impact the overall productivity of a compliance team?
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How to find professional fulfillment in your legal/compliance role
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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
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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
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