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

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