GameStop and Compliance

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Today we consider the GameStop matter through the lens of the compliance profession.   Some of the issues we consider are: ·      What is the background? ·      What are the compliance implications of this matter?  ·      Is this a black swan event or just ‘business as usual?  ·      Short sellers in the bulls-eye?  ·      The role of the regulators? ·      Who are Robinhood’s stakeholders? ·      What is the more relevant precedent; Long Term Capital or the Panic of 1907? ·      What is the role (or responsibility) of social media? Resources Check out Tom’s 5-part blog post series on GameStop and Compliance: GameStop and Compliance-Introduction GameStop and Compliance-The Shorts GameStop and Compliance-The Squeeze and Social Media GameStop and Compliance-The Regulatory Response GameStop and Compliance-Lessons for the Compliance Professional Learn more about your ad choices. Visit megaphone.fm/adchoices

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