Fizza Khan's guest appearances

Fizza Khan

Innovation in Compliance with Tom Fox

Operational Leaders

Her Success Matters

Compliance and Coronavirus

Gabe Hidalgo

Jesse Caplan

Dan Zitting

Tricia Cornell

Brandon Daniels

James Green

John Shegerian

Gleb Tsipursky

David McLaughlin

Andy Hinton

Ariel Weindling

John Castner

Mari Ryan

Alyson Van Hooser

Gordon Firemark

OwlTail

Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. As the Voice of Compliance, I wanted to start a podcast which will help to bring both clarity and sanity to the compliance practitioner and compliance profession during this worldwide health and healthcare crisis. In this episode, I am joined by Fizza Khan, founder and CEO at Silver Regulatory Associates. We consider issues relating to financial institutions and the financial services industry during the time of the coronavirus health crisis.Check out the Silver Regulator Associates website here.This podcast is sponsored by SAI Global. To learn how you can protect your business operations and workforce during these uncertain times, visit saiglobal.com/risk for free resources, expert guidance, and industry-leading technology. Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to the newest addition to the Compliance Podcast Network, Compliance and Coronavirus. As the Voice of Compliance, I wanted to start a podcast which will help to bring both clarity and sanity to the compliance practitioner and compliance profession during this worldwide health and healthcare crisis. In this episode, I am joined by Fizza Khan, founder and CEO at Silver Regulatory Associates. We consider issues relating to financial institutions and the financial services industry during the time of the coronavirus health crisis.Check out the Silver Regulator Associates website <a href="https://silverregulatoryassociates.com/" rel="nofollow" target="_blank">here</a>.This podcast is sponsored by SAI Global. To learn how you can protect your business operations and workforce during these uncertain times, visit <a href="https://www.saiglobal.com/risk" rel="nofollow" target="_blank">saiglobal.com/risk</a> for free resources, expert guidance, and industry-leading technology. Learn more about your ad choices. Visit <a href="https://megaphone.fm/adchoices" rel="nofollow" target="_blank">megaphone.fm/adchoices</a>

Fizza Khan on Financial Institution and Financial Services Compliance During the Coronavirus Crisis

Compliance veteran Fizza Khan started Silver Regulatory Associates in 2018.  As CEO of a now ten-person firm, Fizza saw an opportunity to establish a consultancy that capitalized on her compliance experience and her views on the best model for delivering compliance advice. In this episode, Fizza discusses the impact of Coronavirus on her firm and on the compliance function generally, including how her firm and her clients are overcoming the challenges of social distancing.  She also shares her thoughts more broadly on how compliance consultants can add value at different points in an investment firm’s growth.  Fizza also offers advice on setting expectations to maximize the consultant/client relationship. For more information about Fizza Khan and Silver Regulatory Associates, please visit the firm’s website.

Compliance veteran Fizza Khan started Silver Regulatory Associates in 2018.  As CEO of a now ten-person firm, Fizza saw an opportunity to establish a consultancy that capitalized on her compliance experience and her views on the best model for delivering compliance advice. In this episode, Fizza discusses the impact of Coronavirus on her firm and on the compliance function generally, including how her firm and her clients are overcoming the challenges of social distancing.  She also shares her thoughts more broadly on how compliance consultants can add value at different points in an investment firm’s growth.  Fizza also offers advice on setting expectations to maximize the consultant/client relationship. For more information about Fizza Khan and Silver Regulatory Associates, please visit the firm’s <a href="https://silverregulatoryassociates.com/" rel="nofollow" target="_blank">website</a>.

Fizza Khan Discusses the Role of the Compliance Firm

Fizza Khan, this week’s guest on the Innovation In Compliance show, has been in regulatory consulting for over 10 years. She is the CEO and founder of Silver Regulatory Associates, an innovative company that specializes in helping companies meet their regulatory obligations. She and Tom Fox discuss the idea of outsourced compliance as well as the interesting and often complicated world of cryptocurrency.The Cutting Edge of Outsourced ComplianceTom comments that the regulatory compliance space has different guidelines, regulations and laws than his world of ABC compliance. He asks Fizza to describe some of the cutting edge things her company is doing, in particular the idea of ‘outsourced compliance’. She replies that financial services companies must have a strong regulatory compliance program that’s not only good on paper, but practically functioning. Her company, as an outsourced compliance option, can help firms meet their obligations either by integrating into their compliance program or by working alongside an existing compliance program to ensure that it aligns with the client's interests.Services OfferedSilver Regulatory Associates offers various services depending on your needs. These include: Registration and foundation services Maintenance service Assessment service Exam support service Crypto: Security or Exchange Instrument?There are many questions surrounding cryptocurrency. Whether it is a security or an exchange instrument is one of the questions facing the industry. Fizza explains that the Howey Test is used to determine whether a particular instrument will be deemed a security and needs to come under the SEC’s regulations. The test makes its determination based on three criteria: Is the investment in the form of money? Is the investment of money in a common enterprise? Is there an expectation of profits from the enterprise? Is that expectation of profit derived from the efforts of others? Tom asks Fizza to discuss what a company must do if it's determined to be a security vs an exchange instrument, and how her company can help them fulfill their regulatory obligations. She explains the implications of each scenario. Her company helps clients determine the next steps and take appropriate action to become compliant, she says. Continuous analysis and monitoring of cryptocurrency guidelines is paramount. If a company changes the way it uses, manages or distributes its cryptocurrency, this could trigger additional regulatory requirements.Preparing for the SEC ExamTom mentions an article Fizza wrote, entitled, Uptick In SEC Exams: Four Ways To Ensure A Smooth Process. He asks her to explain how she helps companies prepare for such an exam. She replies that the article targets investment managers and broker dealers who are already regulated and registered with the SEC. The routine exam is when SEC staff examiners come to organizations to ensure that their compliance program is meeting all regulatory obligations. They also want to see that the program is being actively implemented in the business. Silver helps you prepare for a smooth exam: they analyze your existing program, help you prepare the required documents, and they even prepare you to answer questions the SEC might pose. Fizza gives several tips to help you highlight your strengths in the Day One presentation.ResourcesSilverRegulatoryAssociates.comfkhan@silverreg.com Article: Uptick In SEC Exams: Four Ways To Ensure A Smooth Process Article: Insight: Key Crypto Compliance Considerations In Light of Facebook's ICO

Fizza Khan, this week’s guest on the Innovation In Compliance show, has been in regulatory consulting for over 10 years. She is the CEO and founder of Silver Regulatory Associates, an innovative company that specializes in helping companies meet their regulatory obligations. She and Tom Fox discuss the idea of outsourced compliance as well as the interesting and often complicated world of cryptocurrency. The Cutting Edge of Outsourced ComplianceTom comments that the regulatory compliance space has different guidelines, regulations and laws than his world of ABC compliance. He asks Fizza to describe some of the cutting edge things her company is doing, in particular the idea of ‘outsourced compliance’. She replies that financial services companies must have a strong regulatory compliance program that’s not only good on paper, but practically functioning. Her company, as an outsourced compliance option, can help firms meet their obligations either by integrating into their compliance program or by working alongside an existing compliance program to ensure that it aligns with the client's interests. Services OfferedSilver Regulatory Associates offers various services depending on your needs. These include:<ul> <li>Registration and foundation services</li> <li>Maintenance service</li> <li>Assessment service</li> <li>Exam support service</li> </ul> Crypto: Security or Exchange Instrument?There are many questions surrounding cryptocurrency. Whether it is a security or an exchange instrument is one of the questions facing the industry. Fizza explains that the Howey Test is used to determine whether a particular instrument will be deemed a security and needs to come under the SEC’s regulations. The test makes its determination based on three criteria:<ol> <li>Is the investment in the form of money?</li> <li>Is the investment of money in a common enterprise?</li> <li>Is there an expectation of profits from the enterprise? Is that expectation of profit derived from the efforts of others?</li> </ol>Tom asks Fizza to discuss what a company must do if it's determined to be a security vs an exchange instrument, and how her company can help them fulfill their regulatory obligations. She explains the implications of each scenario. Her company helps clients determine the next steps and take appropriate action to become compliant, she says. Continuous analysis and monitoring of cryptocurrency guidelines is paramount. If a company changes the way it uses, manages or distributes its cryptocurrency, this could trigger additional regulatory requirements. Preparing for the SEC ExamTom mentions an article Fizza wrote, entitled, Uptick In SEC Exams: Four Ways To Ensure A Smooth Process. He asks her to explain how she helps companies prepare for such an exam. She replies that the article targets investment managers and broker dealers who are already regulated and registered with the SEC. The routine exam is when SEC staff examiners come to organizations to ensure that their compliance program is meeting all regulatory obligations. They also want to see that the program is being actively implemented in the business. Silver helps you prepare for a smooth exam: they analyze your existing program, help you prepare the required documents, and they even prepare you to answer questions the SEC might pose. Fizza gives several tips to help you highlight your strengths in the Day One presentation. Resources<a href="https://silverregulatoryassociates.com/" rel="nofollow" target="_blank">SilverRegulatoryAssociates.com</a><a href="mailto:fkhan@silverreg.com">fkhan@silverreg.com</a> Article: <a href="https://silverregulatoryassociates.com/insights/uptick-in-sec-exams-four-ways-to-ensure-a-smoother-process/" rel="nofollow" target="_blank">Uptick In SEC Exams: Four Ways To Ensure A Smooth Process</a> Article: <a href="https://news.bloomberglaw.com/tech-and-telecom-law/insight-key-crypto-compliance-considerations-in-light-of-facebooks-ico" rel="nofollow" target="_blank">Insight: Key Crypto Compliance Considerations In Light of Facebook's ICO</a>

Outsourced Compliance with Fizza Khan