The RIA Compliance Collective: Recent Episodes
Ivan Barretto and Collin O'Bryant
We discuss compliance topics that effect RIA firms from a former regulator's perspective.
Hosted by: Ivan Barretto and Collin O'Bryant,
Wes Stillman Bio:
Wes Stillman is the Chief Executive Officer of RightSize Solutions. After 30+ years of managing technology in high-level positions, Wes began RightSize Solutions in 2002 because RIAs needed a technology partner who really understood their needs. More than 13 years later, he remains committed to understanding every nuance of his clients’ businesses.
Topic I - What are some of the lessons learned in 2021?
Topic II - What the responsibilities that RIAs have when it comes to IT and cybersecurity?
Topic III - From a practical standpoint, what is the most important best practice that people should use?
Topic IV - What is Predictive Ransomware Protection?
Topic V - Even the SEC was a target of cyber-criminals, how did the happen?
Topic VI - Finally, where do you see the future of IT management and cybersecurity as we enter 2022?
Guest Speaker Information:
Wes Stillman, CEO
LinkedIn: https://www.linkedin.com/in/wes-stillman-ba2a75/
Company Information:
RightSize Solutions Website: http://www.rightsize-solutions.com/ Company LinkedIn: https://www.linkedin.com/company/right-size-solutions/
In the News: https://www.rightsize-solutions.com/resources/in-the-news/
Tech Trends: https://www.rightsize-solutions.com/resources/tech-trends/
RightSize will be at the 2022 Investment Adviser Compliance Conference
https://investmentadviser.org/events/compliance-conference/
Schwab E&O Update
Show Notes
Topic I: Schwab E&O Update
Topic II: Crypto ETF
Guest Speaker Info:
Chad Ramberg, President Box Professional Insurance, LLC
Phone: 817-865-1519 Email: Chad.Ramberg@boxproinsurance.com
Website: www.boxproinsurance.com
Chad's LinkedIn: https://www.linkedin.com/in/chad-ramberg-71278533/
Advisors can email that address below and put in the subject line – “Do I meet the Schwab requirements?”
RIAview@BoxProInsurance.com
Please attach a copy of the insurance coverage in place including the following.
- E&O
- Cyber
- Crime / Crime Bond
Tales from the Crypto
Introduction
Topic 1 - Why are there so many crypto scams
Topic 2 - What are the main types of crypto scams
Topic 3 - How do some of them get so big?
Topic 4 - Some of the biggest scams and Ponzi schemes in crypto are still going and still scamming people even after regulators have stepped in and labeled them as scams- how is that even possible?
Topic 5 - What makes people fall for the scams?
Topic 6 - Have scams negatively affected crypto, or is it just a phase that crypto will go past?
Outro
Speaker Bio:
Erica Stanford is the author of Crypto Wars: Faked Deaths, Missing Billions, and Industry Disruption about the biggest hacks and scams in crypto. She is also the Founder of the crypto community, the Crypto Curry Club, which publishes Blockchain Industry Review. She is a frequent speaker and commentator on both use cases and applications of cryptocurrency as well as on crypto scams. She is an Associate Guest Lecturer at Warwick Business School on crypto use cases. She is part of VC-backed crypto wallet and DEX startup Cent Finance. She also works part-time at CMS law firm advising on crypto and fintech strategy.
Erica Stanford's Linkedin:
https://www.linkedin.com/in/ericastanford/
Crypto Wars: Faked Deaths, Missing Billions and Industry Disruption about the biggest hacks and scams in crypto.
https://www.amazon.co.uk/Crypto-Wars-Billions-Industry-Disruption/dp/1398600687/?geniuslink=true
FINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAM
Podcast Show Notes
I. Intro
II. How do you define brand?
III. Four Steps to up-leveling your brand
IV. Where do you go from there?
Susan Danzig, Business Development Expert
Website: https://www.susandanzig.com/
Phone: (925) 954-1773
Email: susan@susandanzig.com
Facebook: https://www.facebook.com/SusanDanzigLLC/
LinkedIn: https://www.linkedin.com/in/susandanzig/
Go to www.financialadvisorsuccessquiz.com and take the quiz now.
E&O Digital Assets
Intro
Topic 1 - E & O trends
Topic 2 - Digital Assets E & O
Guest Speaker Info:
Chad Ramberg, President Box Professional Insurance, LLC
Phone: 817-865-1519 Email: Chad.Ramberg@boxproinsurance.com
Website: www.boxproinsurance.com
Chad's LinkedIn: https://www.linkedin.com/in/chad-ramberg-71278533/
Sebastian Skwarek is the Co-Founder of PreciseFP
Company Website: https://precisefp.com/
7 day Free trial: https://app.precisefp.com/signup
Facebook: https://www.facebook.com/precisefp/
Twitter: https://twitter.com/PreciseFP
LinkedIn: https://www.linkedin.com/in/sebastianskwarek/
PreciseFP LinkedIn: https://www.linkedin.com/company/precisefp---spectrum-input-llc-/
Brian Hahn Founder
MTradecraft
Linkedin: https://www.linkedin.com/in/jbrianhahn/
Speaker Bio: Brian is founded of MTradecraft in 2009. Mtradecraft serves all financial institutions, with focused expertise in the RIA, broker-dealer, hedge fund, and family office space. MTradecraft supports over 180 clients nationwide.
MTradecraft
Website: https://www.mtradecraft.com/
Phone: 210-264-2578
Email: info@mtradecraft.com
LinkedIn: https://www.linkedin.com/company/mtradecraft/
Here is the webpage for Fieldcraft:
https://www.mtradecraft.com/fieldcraft.html
Here is a Youtube video with a Demo:
https://youtu.be/jcGhpMeza0I
If firms are interested, that can request a free demo account here:
https://www.mtradecraft.com/fieldcraftdemo.html
Podcast outline
I. Intro
II. Equipment Needed
III. Fiverr (Podcast name, Editing, Artwork)
IV. Podcast Recording (Zencastr)
V. Podcast Publishing (Podcast.co)
VI. Audiogram (Headliner)
VII. Podcast Guests (Matchmaker)
VIII. Outro
Samson Go Mic
https://www.amazon.com/Samson-Mic-Portable-Condenser-Microphone/dp/B001R76D42/ref=sr_1_5?crid=3CXXKPKMHZUHE&dchild=1&keywords=samson+go+mic+portable+usb+condenser+microphone&qid=1625673465&sprefix=samson+go+mic%2Caps%2C206&sr=8-5
Jabra Elite 85t
https://www.amazon.com/Jabra-Wireless-Bluetooth-Earbuds-Titanium/dp/B08HR78C46/ref=sr_1_1_sspa?dchild=1&keywords=jabra+elite+85t&qid=1625673593&sr=8-1-spons&psc=1&spLa=ZW5jcnlwdGVkUXVhbGlmaWVyPUExUlpLUVVFVDlMUTRDJmVuY3J5cHRlZElkPUEwMzEzMDEwM1BRN08wU0VUS1lZOCZlbmNyeXB0ZWRBZElkPUEwMjY0NTcxMlVMQlVNTEFFNkZMTCZ3aWRnZXROYW1lPXNwX2F0ZiZhY3Rpb249Y2xpY2tSZWRpcmVjdCZkb05vdExvZ0NsaWNrPXRydWU=
Fiverr
www.fiverr.com
Zencastr
https://zencastr.com/
Podcast.co
https://www.podcast.co/
Matchmaker
https://www.matchmaker.fm/home
Jimmy Song is a Bitcoin developer, educator and entrepreneur. He's an open source contributor to many different Bitcoin projects. He is the author of Programming Bitcoin from O'Reilly, The Little Bitcoin Book and Thank God for Bitcoin. Jimmy writes a weekly newsletter, Bitcoin Tech Talk and has a podcast Bitcoin Fixes This
Speaker Information:
Jimmy Song
Linkedin: https://www.linkedin.com/in/jimmysong/
Bitcoin Fixes This Podcast
https://open.spotify.com/show/6jEPeE4yhsoZJrDRcs9dLN?si=etZGcr7sQReKYcYRop3o-Q&dl_branch=1
What the NFT?
Intro
Topic - What is an NFT?
Topic - Compliance and NFT
Topic - NFT and Charity
Outro
Speaker Information:
Marc Moglen
Principal, AU3d.IO
Website: https://www.au3d.io/
LinkedIn: https://www.linkedin.com/company/au3dio/about/
Marc's LinkedIn:
https://www.linkedin.com/in/marcmoglen/
Topic 1 - Why do I need to know my numbers?
Topic 2 - What do the numbers tell me?
Topic 3 - What's inside the numbers?
Topic 4 - How do your numbers compare to others?
Topic 5 - What is my Firm worth?
Topic 6 - How do good numbers help throughout the year in the tax process?
Topic 7 - What are the advantages of proactively planning the taxes?
Topic 8 Is a valuation important for tax purposes?
Topic 9 - What are the top items you would suggest an RIA firm discuss immediately with their tax advisor in 2020?
Podcast guests:
Rick Wilkens, CPA
Co-Founder and Owner
Elevate CPA Group
Rick@elevatecpagroup.com
Brian Nuttall, CPA, J.D.
Co-Founder and Owner
Elevate CPA Group
Brian@elevatecpagroup.com
www.elevatecpagroup.com
Intro
Topic I: Changes in DOL
Topic 2: 5 Part Test
Topic 3: Proposed exemptions
Outro
Department of Labor News Release
https://www.dol.gov/newsroom/releases/ebsa/ebsa20200629
Show Notes
Brian Hahn
Founder
MTradecraft
Linkedin: https://www.linkedin.com/in/jbrianhahn/
Speaker Bio: Brian is founded of MTradecraft in 2009. Mtradecraft serves all financial institutions, with focused expertise in the RIA, broker-dealer, hedge fund, and family office space. MTradecraft supports over 180 clients nationwide.
Intro
Topic I – Problem with Basic Cyber Security Training
Topic II – Issues with the SEC guidance regarding Cyber Security
Topic III – Most significant Cyber Security Treats
Topic IV – Password hygiene?
Topic V – Brian’s superpower
MTradecraft
Website: https://www.mtradecraft.com/
Phone: 210-264-2578
Email: info@mtradecraft.com
LinkedIn: https://www.linkedin.com/company/mtradecraft/
Marci is Founder and General Counsel of SilverBills.com which she launched in 2014. SilverBills receives, scrutinizes and stores clients’ household bills and ensures that bills are paid correctly and on time. SilverBills greatly reduces clients’ need for help writing checks and managing household bills, which can be a portal to fraud and theft. SilverBills provides services throughout the United States and often partners with families, financial planners, attorneys, and social workers.
SilverBills has been featured in numerous national publications and Marci speaks frequently on a variety of topics. SilverBills is also listed by AARP as a trusted COVID resource: https://aarpcommunityconnections.org/helpful-resources/
Marci Lobel-Esrig
Founder and General Counsel
SilverBills
LinkedIn: https://www.linkedin.com/in/marci-lobel-esrig-73a19b1b/
SilverBills
Website: https://www.silverbills.com/
LinkedIn: https://www.linkedin.com/company/silverbills-llc/
Facebook: https://www.facebook.com/silverbills360/
Twitter: https://twitter.com/silverbills?lang=en
Intro
Topic I - Why do I need a succession plan if I don't plan on retiring?
Topic II - How do I determine the value of my business / practice?
Topic III - What should be considering if I am looking to break away from my current firm?
Topic IV - Upcoming events
Speaker Bio
Terry Mullen, CEO
Truelytics
Terry is a seasoned executive, board member, entrepreneur, and active private investor. After a 29-year career in Financial services distribution as a Senior Executive with AIG, Lincoln Financial, and Sun Life, among others, Terry took his entrepreneurial spirit and founded Truelytics.
Terry's in-depth knowledge of financial services and the relationships he has built will enable Truelytics to help advisors continuously improve their practice. Using data analytics and benchmarking tools, Truelytics software shows financial advisors on how to easily value their business but, more importantly, identify and close any gaps they currently have.
Terry received a Bachelor's Degree in Business Administration and Finance from the University of Delaware. Terry lives in Pennsylvania and is the father of 7 children.
Terry's LinkedIn
https://www.linkedin.com/in/terry-mullen-6931a86/
Terry's Twitter
https://twitter.com/tmullen610?lang=en
Truelytics Company Info.
https://www.truelytics.com/
Phone: 1 800-834-7494
Email: info@truelytics.com
Linkedin: https://www.linkedin.com/company/truelytics/
Twitter: https://twitter.com/truelytics1
Facebook: https://www.facebook.com/truelytics1/
Youtube: https://www.youtube.com/channel/UCp5gVjuEBWciKIvKF_EL7AQ?sub_confirmation=1
Intro
Leading with Compassion and Clarity During COVID by Dr. Josh Williams
RIACC Q&A and Discussion
Dr. Josh Williams is a Partner with Propulo Consulting, a global management consulting firm specializing in operational excellence and safety culture improvement.
For over 20 years, Josh has partnered with clients around the world to drive increased discretionary effort and improved strategic execution. A partial list of clients includes Genentech, The Marines, Monsanto, NASA, Pfizer, Pratt and Whitney, Singapore Technologies and other companies in the biotech, aerospace, construction, oil and gas, military, utilities, and pharmaceutical industries.
He’s the author of Keeping People Safe: The Human Dynamics of Injury Prevention and co-editor of Keys to Behavior-Based Safety. Josh also has more than 40 book chapters and articles in leading publications. Josh received the Cambridge Center National First Prize for his research on behavioral safety feedback and earned his Ph.D. in Industrial/Organizational Psychology at Virginia Tech.
Company Info:
Propulo Consulting
Website: https://www.propulo.com/
LinkedIn: https://www.linkedin.com/company/propulo/
Youtube: https://www.youtube.com/c/Propulo/
Phone: 1-888-3-PROPULO
Josh Williams, Ph.D
Partner, Propulo Consulting
Mobile Phone: 540-239-5626
Linkedin: https://www.linkedin.com/in/josh-williams-ph-d-25a9184/
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io
Website: www.riacc.io
LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/
Twitter: https://twitter.com/RIAComplyCEP
Facebook: https://www.facebook.com/RIAComplianceConcepts/
Instagram: https://www.instagram.com/riacomplianceconcepts/
Ivan Barretto, Managing Director
LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director
LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Mike Langford is the founder and CEO of finservMarketing, a consulting firm that specializes in providing best in class marketing strategies and content creation for the financial services industry.
Outline:
Topic I Intro
Topic II - Mike's overview of modernizing the advertising rules
Topic III - Marketing vs Advertising
Topic IV - Testimonials, Endorsements, etc.
Topic V - Pre-Review and Approval
Outro
SEC Proposes to Modernize the Advertising
https://www.sec.gov/news/press-release/2019-230
finservMarketing Website: https://www.finservmarketing.com/
Linkedin: https://www.linkedin.com/company/finservmarketing/
Facebook: https://www.facebook.com/finservMarketing/
Twitter: https://twitter.com/finsrvmarketing?lang=en
Truelytics podcast
https://blog.truelytics.com/topic/modern-financial-advisor-podcast
Social Financial (SoFin) podcast
https://www.finservmarketing.com/the-sofin-podcast
The Advisor Financing Forum
https://www.finservmarketing.com/the-advisor-financing-forum
RIA Compliance Concepts
Toll Free: 1-833-RIACCIO Email: info@riacc.io
Website: www.riacc.io
LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/
Twitter: https://twitter.com/RIAComplyCEP
Facebook: https://www.facebook.com/RIAComplianceConcepts/
Instagram: https://www.instagram.com/riacomplianceconcepts/
Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Clearing the Air IX
Intro
Topic I – Remote Regulatory Examinations
Topic II – Wrap Fee Program Update
Topic III – Financial Planning Retainer Model
Outro
Helpful Links:
5 tips to prepare for an RIA exam
https://www.riacc.io/post/2017/10/13/5-tips-to-prepare-for-an-ria-exam
SEC Wrap Fee Programs Investor Alert
https://www.sec.gov/oiea/investor-alerts-and-bulletins/ib_wrapfeeprograms
Financial Planning: Why retainer fees pose question for regulators?
https://www.financial-planning.com/news/napfa-nasaa-discuss-retainer-fees
Podcast Vendor Information
Podacast.co
www.podcast.co
Company Information
RIA Compliance Concepts Toll Free: 1-833-RIACCIO
Email: info@riacc.io
Website: www.riacc.io
LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/
Twitter: https://twitter.com/RIAComplyCEP
Facebook: https://www.facebook.com/RIAComplianceConcepts/
Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director
LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director
LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant
LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Topic I - Intro Topic II - SEC 8 major areas Topic III - Digital assets and electronic investment advice Topic IV - NASAA IA Section report Topic V - Outro
SEC 2020 Examination Priorities https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2020.pdf
NASAA 2019 Investment Adviser Section Report https://www.nasaa.org/wp-content/uploads/2019/06/2019-IA-Section-Report.pdf
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
RIA Compliance Concepts
Toll Free: 1-833-RIACCIO
Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Guest Speaker Information: Chad Ramberg, President of Box Professional Insurance Linkedin: https://loom.ly/coLCBzQ
Company Information: Box Professional Insurance Website:https://loom.ly/eziht3Y Company LinkedIn: https://loom.ly/wu8B7ck S&P 500 VS Claims Chart: https://loom.ly/Foniblg
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Guest Speaker Info: Dana Mantilia, Founder Identity Protection Planning Email: dmantilia@identityprotectionplanning.com
Identity Protection Planning Website: https://www.identityprotectionplanning.com/ Phone: 1-833-345-SAFE Identron Website: https://www.identron.com/ LinkedIn: https://www.linkedin.com/company/identity-protection-planning/?viewAsMember=true Facebook: https://www.facebook.com/Identron.Protection/ Youtube: https://www.youtube.com/channel/UCnKQTPi2Td2Kx7m4-1hD2cA
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Clearing the Air VII Show Notes I. Introduction II. Form CRS update / Covid-19 Update III. BCP/Disaster Recovery Plan Overview IV. PPP disclosure discussion V. Outro
NASAA Covid-19 Updates page https://www.nasaa.org/industry-resources/covid-19-updates/
FINRA FAQ PPP loans Form U-4 https://www.finra.org/rules-guidance/key-topics/covid-19/faq
SEC Guidance PPP loan https://www.sec.gov/investment/covid-19-response-faq
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Introduction Topic I - Form CRS Update Topic II - CD Spoofiing Websites Topic III - Protecting Senior Investors Topic IV - Calculating Regulatory AUM Outro
Form CRS Instructions https://www.sec.gov/rules/final/2019/34-86032-appendix-b.pdf
SEC Risk Alert: Beware of Spoofed Websites Offering Phony Certificates of Deposit https://www.sec.gov/oiea/investor-alerts-and-bulletins/ia_phonycds
SEC How to Protect Senior Investors https://www.sec.gov/files/how-the-sec-works-to-protect-senior-investors.pdf
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Introduction Topic I - Bill's own experience with internal succession Topic II - Tips to find own internal successor Topic III - Red flags during the internal succession process Topic IV - Superpower and why? Outro Speaker Bio: Bill Heestand He owned Heestand Company, a qualified retirement plan and employee benefits advisory company from 1992 until 2017. The RIA practice was mostly qualified plans with some wealth management. AUM was $250 million when he retired. It is now $400 million.
He sold and installed some of the first 401(k) plans ever written starting in 1985. His dad heard the “father of 401(k)” Ted Benna speak in 1984 at the Million Dollar Round Table and decided they were the next trend in business. He was right. They saw and participated in the childhood, teen years and now the maturity of 401(k) plans. They also had about $75 million in Defined Benefit Pensions under consultation and advisement.
Website: www.ownershipladder.com Youtube: https://www.youtube.com/channel/UChBaZhdmnczGW_7NmMyQX-A?view_as=subscriber Blogspot: https://ownershipladder.blogspot.com/ Bill's LinkedIn: https://www.linkedin.com/in/billheestand/ Contact info: bill@ownershipladder.com
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Intro Topic I - Inadvertant Custody Topic II - Custody via Asset Transfer Authorization Topic III - Agreement with a CPA Topic IV - Suprise Examination Process and Prep Topic V - Super Power and Why? Outro
Guest Speaker Information: Rick Wilkens, CPA, CVA, Partner DeMarco Sciaccotta Wilkens & Dunleavy, LLP Linkedin: https://loom.ly/TXtOS0I
Company Information: DeMarco Sciaccotta Wilkens & Dunleavy, LLP Website:https://loom.ly/-K01JpU Company LinkedIn: https://loom.ly/0iET56I
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Intro Topic I - Custody Rule Topic II - Subject to Suprise Examination Topic III - Agreement with a CPA Topic IV - Definition of Custody Outro
Guest Speaker Information: Rick Wilkens, CPA, CVA, Partner DeMarco Sciaccotta Wilkens & Dunleavy, LLP Linkedin: https://loom.ly/TXtOS0I
Company Information: DeMarco Sciaccotta Wilkens & Dunleavy, LLP Website:https://loom.ly/-K01JpU Company LinkedIn: https://loom.ly/0iET56I
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Topic I - Instroduction Topic II - RIA Business Insurance Topic III - Review your business needs Topic IV - Common Mistakes that are seen be insurance brokers Topic V - Outro
Guest Speaker Info:
Chad Ramberg, President Box Professional Insurance, LLC Phone: 817-865-1519 Email: Chad.Ramberg@boxproinsurance.com Website: www.boxproinsurance.com Chad's LinkedIn: https://www.linkedin.com/in/chad-ramberg-71278533/
Other Links: S&P 500 vs. Claims Chart https://go.pardot.com/l/741133/2019-11-01/2smyd
RIA Compliance Concepts Website: www.riacc.io Email: info@riacc.io Phone: - 1-833-RIACCIO Linkedin: https://www.linkedin.com/company/25040493/ Facebook: https://www.facebook.com/RIAComplianceConcepts/ Twitter: https://twitter.com/RIAComplyCEP Instagram: https://www.instagram.com/riacomplianceconcepts/ Pinterest: https://www.pinterest.com/ivanbarretto/pins/
Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Intro Topic I – Recent News Topic II – Form CRS update Topic III – Compliant Process Topic IV – Proxy Voting Topic V – Outro
Other Links: XY Planning Network sues SEC over Reg BI https://www.investmentnews.com/article/20190910/FREE/190919988/xy-planning-network-sues-sec-over-reg-bi NASAA 2019 Annual Enforcement Report https://www.nasaa.org/52518/nasaa-releases-annual-enforcement-report-5/ SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice https://www.sec.gov/news/press-release/2019-158 Form CRS Instructions https://www.sec.gov/rules/final/2019/34-86032-appendix-b.pdf
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com/b/118267280728866485410/
Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
**Intro Topic I: Retail Investors, Senior and those saving for retirement Topic II: Conflicts of interest Topic III: Senior Investors and Retirement Accounts and Products Topic IV: Portfolio management and Trading Topic V: Cybersecurity Topic VI: Digital Assets Topic VII: AML Outro
Other Links: 2019 SEC Examination Priorities https://www.sec.gov/files/OCIE%202019%20Priorities.pdf**
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
An Identity Theft Protection Discussion with Dana Mantilla, Founder of Identity Protection Planning - Identron
Intro Topic I - Is identity theft a really a big deal? Topic II - Is credit monitoring sufficient? Topic III - B2B opportunities for advisers Topic IV - Should this be offered as servies to clients? Outro
Guest Speaker Info: Dana Mantilla, Founder Identity Protection Planning Email: dmantilia@identityprotectionplanning.com
Identity Protection Planning Website: https://www.identityprotectionplanning.com/ Phone: 1-833-345-SAFE Identron Website: https://www.identron.com/ LinkedIn: https://www.linkedin.com/company/identity-protection-planning/?viewAsMember=true Facebook: https://www.facebook.com/Identron.Protection/ Youtube: https://www.youtube.com/channel/UCnKQTPi2Td2Kx7m4-1hD2cA
RIA Compliance Concepts Website: www.riacc.io Email: info@riacc.io Phone: - 1-833-RIACCIO Linkedin: https://www.linkedin.com/company/25040493/ Facebook: https://www.facebook.com/RIAComplianceConcepts/ Twitter: https://twitter.com/RIAComplyCEP Instagram: https://www.instagram.com/riacomplianceconcepts/ Pinterest: https://www.pinterest.com/ivanbarretto/pins/
Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Intro Topic I Preventing Fraud, Topic II Indentifying and Montioring Risk Topic III Informing Policy Topic IV Promoting Compliance Topic V Compliance Issues Related to Best Execution Topic VI Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers Topic VII Obersevations from IA Examination relating to Electronic Messaging Topic VIII Supervisory Review Topic IX Privacy / Reg SP and Third Party Security Topic X Safeguarding Customer Records and Information in Network Storage
SEC 2019 Examination Priorties https://www.sec.gov/files/OCIE%202019%20Priorities.pdf
NASAA 2017 IA Coordinated Examinations Report https://s30730.pcdn.co/wp-content/uploads/2011/10/2017-IA-Coordinated-Examinations.pdf
NASAA 2019 RIA Section Report https://s30730.pcdn.co/wp-content/uploads/2019/06/2019-IA-Section-Report.pdf
Intro Topic I - Vendor Breach - Now What? Topic II - Questions to ask regarding the vendor breach? Topic III - Example of reporting requirements Topic IV - Senior Safe Act Discussion Outro
National Conference of State Legislatures State Security Breach Notifcation Laws http://www.ncsl.org/research/telecommunications-and-information-technology/security-breach-notification-laws.aspx
SEC Senior Safe Act Press Release https://www.sec.gov/news/press-release/2019-75
Intro Topic I – Overview Of The New Regulation Best Interest Topic II – Best Interest Obligation and Key Areas of Obligation Topic III – Books and Records Requirements Topic IV – Next Steps To Remain in Compliance Outro
Guest Speaker Information: Mary Ellen Storey, Vice President Cerulean Securities Compliance Mary Ellen’s Linkedin: https://loom.ly/UBKmzDE
Company Website: https://loom.ly/BoOjuZg Phone: (816) 858-7880 Company LinkedIn: https://loom.ly/sOV7X14 Company Twitter: https://loom.ly/utsslWk
Other informative links:
Form CRS Relationship Summary; Amendments to Form ADV https://loom.ly/0epzpSY
Regulation Best Interest: The Broker-Dealer Standard of Conduct https://loom.ly/ykOUOS0
Show Notes Intro Topic 1 – The Dawn of Cobalt Archive Topic 2 – Archiving meets Books and Records Requirement Topic 3 – Supervision Topic 4 – Features of Cobalt Archive and Benefits Topic 5 – Superhero Question Outro
Guest Speaker Info: Sue Lemm, Linkedin: https://www.linkedin.com/in/suelemm/
Blockchain and Compliance Archiving https://www.linkedin.com/pulse/blockchain-compliance-archiving-sue-lemm/
Company Website: https://cobaltarchive.com/ Company LinkedIn: https://www.linkedin.com/company/cobaltarchive/ Company Facebook: https://www.facebook.com/cobaltarchive Company Twitter: https://twitter.com/CobaltArchive
Intro Topic I - Continuing Education for IARs? Topic II - Robo Adviser FAQs Topic III - Correspondence vs. Advertising Clarification
NASAA - Survey Regarding Continuing Education for investment adviser representatives http://www.nasaa.org/industry-resources/investment-advisers/nasaa-survey-regarding-continuing-education-for-investment-adviser-representatives/
SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers https://www.sec.gov/news/pressrelease/2017-52.html
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Clearing the Air II
Intro Topic 1 - Solicitors Topic 2 - Net Cap Requirements Topic 3 - Custody, More Custody
SEC Risk Alert - Solicitation https://www.sec.gov/files/OCIE%20Risk%20Alert%20-%20Cash%20Solicitation.pdf
SEC - Custody Gudiance Links SEC No Action Letter - 2/21/17 https://www.sec.gov/divisions/investment/noaction/2017/investment-adviser-association-022117-206-4.htm SEC IM Guidance No. 2017-01 https://www.sec.gov/investment/im-guidance-2017-01.pdf SEC Staff Responses to Questions About the Custody Rule - https://www.sec.gov/divisions/investment/custody_faq_030510.htm
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Show Notes: Wes Stillman Bio:
Wes Stillman is the Chief Executive Officer of RightSize Solutions. After 30+ years of managing technology in high-level positions, Wes began RightSize Solutions in 2002 because RIAs needed a technology partner who really understood their needs. More than 13 years later, he remains committed to understanding every nuance of his clients’ businesses.
Topic I – Introduction Topic II – Concerns regarding the creation of customized mobile apps Topic III – Mobile cybersecurity challenges Topic IV - Best practice recommendations Topic – Closing Remarks
Guest Speaker Information:
Wes Stillman, CEO LinkedIn: https://www.linkedin.com/in/wes-stillman-ba2a75/
Company Info:
Company Information: RightSize Solutions Website: http://www.rightsize-solutions.com/ Company LinkedIn: https://www.linkedin.com/company/right-size-solutions/
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com/b/118267280728866485410/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Show Notes: Jessica Thayer Bio:
Jessica Thayer is the Senior Vice President and Practice Leader of Starkweather Financial Institutions Risk Solutions, an industry specific practice group focused solely on assisting and guiding Investment Advisors, Mutual Funds, Private Funds, Broker Dealers and Private Equity Firms towards successful and efficient risk transfer solutions. Thayer and the Starkweather Financial Institutions Risk Solutions team are specialists in Directors & Offices Liability, Errors & Omissions, Fidelity, Cyber Security, Employment Practices Liability, and Fiduciary Liability.
Topic I – Introduction Topic II – What is E&O and the common claims? Topic III – What is covered by a Cyber Security Policy? Topic IV - Your Super Power and Why? Topic – Closing Remarks
Guest Speaker Information:
Jessica Thayer, Senior Vice President LinkedIn: https://www.linkedin.com/in/jessica-thayer-198764/
Company Info:
Company Information: Starkweather & Shepley Website: https://loom.ly/oUUZfxk Company LinkedIn: https://loom.ly/1XcQztk Facebook: https://loom.ly/ughjJpk Twitter: https://loom.ly/EfRdmWA
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com/b/118267280728866485410/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Show Notes: Mike Langford Bio:
Mike Langford is the founder and CEO of finservMarketing, a consulting firm that specializes in providing best in class marketing strategies and content creation for the financial services industry.
Topic I – Introduction Topic II – The Importance of digital marketing and engagement Topic III – What is Social Sentiment? Topic IV – Dangers of Social Sentiment Topic – Closing Remarks
Guest Speaker Information:
Mike Langford, Founder and CEO Mike Langford LinkedIn: https://www.linkedin.com/in/mikelangford2/
Company Info:
finservMarketing Website: https://www.finservmarketing.com/ Company Linkedin: https://www.linkedin.com/company/finservmarketing/ Facebook: https://www.facebook.com/finservMarketing/ Twitter: https://twitter.com/finsrvmarketing?lang=en SoFin & SXSW2019: https://www.linkedin.com/groups/12207304/
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com/b/118267280728866485410/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Allison Brecher Bio: Allison is the General Counsel at Vestwell, where she leads the legal, compliance, and data privacy operations at the company. She has practiced in the ERISA, employee benefits, and privacy areas for more than 20 years. She brings her prior experience as in-house counsel at global Fortune 200 companies to a startup and she enjoys using her expertise to educate plan sponsors, advisors, and others about the legal and compliance issues involved with operating their retirement plans.
Topic I – Introduction Topic II – Fiduciary Duties of ERISA Topic III – Can a plan sponsor delegate all of its fiduciary duties? Topic IV – Plan considerations to account for when selecting the investment options for the plan Topic V – Current litigation issues Topic VI – Closing Remarks
Guest Speaker Information: Allison Brecher, General Counsel Allison Brecher LinkedIn: https://www.linkedin.com/in/allisonbrecher/
Company Info: Vestwell Website: https://vestwell.com/ Company Linkedin: https://www.linkedin.com/company/vestwell-advisors/ Facebook: https://www.facebook.com/vestwell401k/ Twitter: https://twitter.com/Vestwell United of State Department of Labor Employee Benefits Security Administration Seminars and Webcasts https://www.dol.gov/agencies/ebsa/about-ebsa/our-activities/resource-center/seminars-and-webcasts
401(k) plans https://www.dol.gov/agencies/ebsa/key-topics/retirement/401k-plans
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Thibaud Clément Bio: Thibaud is the CEO of Loomly, a collaborative brand success platform that helps marketing teams create better content for their audience. He’s a self-taught programmer and has, over the years, created and been part of some very interesting startups.
Topic I – Introduction Topic II – The Birth of Loomly Topic III – Social Media Workflow process Topic IV – Closing Comments
Guest Speaker Information: Thibaud Clément, CEO Thibaud Clément LinkedIn: https://www.linkedin.com/in/thibaudclement/
Company Info: Loomly Website: https://www.loomly.com/ Company Linkedin: https://www.linkedin.com/company/loomly/ Facebook: https://www.facebook.com/Loomly Twitter: https://twitter.com/LoomlySocial Instagram: https://www.instagram.com/loomlysocial/ Pinterest: https://www.pinterest.com/LoomlySocial/ Tumblr: http://loomlysocial.tumblr.com/
Matt Meyer Bio:
Matt currently serves as Founder and Managing Partner of The BluePrint Insurance Services, a partner of a leading life insurance and annuity marketing company in the country, AimcoR Group. Matt specializes in working with financial advisors on complex estate and business planning issues. He takes a holistic planning approach and prides himself on speaking the same language as RIAs and comprehensive financial advisors.
He’s able to so because he’s been in the insurance and financial services business for the last two decades. He’s gained extensive experience consulting large organizations on their employee benefit programs, He’s also assisted high net worth families in the estate planning process, and provides overall guidance to advisors, CPAs, and estate planning attorneys. Matt works with advisors and clients to structure and model transactions, general financial strategies, as well as to examine the short and long-term products utilized for risk mitigation.
Topic I – Introduction Topic II – How the comprehensive client experience addresses fiduciary responsibility for an advisor? Topic III – Integration of insurance and risk management into the advisor’s planning process Topic IV – Creation of insurance solutions for the RIA community Topic V – Closing Comments
Guest Speaker Information: Matt Meyer, Co-Founder Email: MMeyer@tblueprint.com Matt Meyer LinkedIn: https://www.linkedin.com/in/mmeyerinsurance/ Phone: 424-387-4143
Company Info: The Blue Print Insurance Services Website: www.tblueprint.com Company Linkedin: https://www.linkedin.com/company/the-blueprint-insurance-services/ Twitter: https://twitter.com/insuranceria?lang=en
Guest Speaker: John Anderson - John Anderson is a Managing Director and Head of Practice Management for SEI’s Advisors Solutions network. John has over 30 years of experience in various roles in the financial services industry, has been with SEI for over 20 years, and is also the lead author of SEI’s practice management blog, Practically Speaking©, which is designed to help financial advisors improve client relationships and develop more effective marketing programs. LinkedIn: https://www.linkedin.com/in/seijohna/ Twitter: https://twitter.com/SEIJohnA
Topic 1: Practice Management and TAMPs Topic 2: Vendor Management Due Diligence Topic 3: How to Chose the Right Vendor for Your Firm Topic 4: Choosing a TAMP – Product, Capabilities, & Cost Topic 5: Practice Management Tips
Resources: Sign up for SEI’s free Independent Financial Advisors: An Evaluation Tool https://seic.com/knowledge-center/outsourcing-independent-financial-advisors-evaluation-tool?cmpid=ADV-LG-PODCAST-OUTSOURCING
SEI https://seic.com/
SEI Practically Speaking https://seicblogs.com/advisor-practice-management/ LinkedIn: https://www.linkedin.com/company/sei/ Facebook: https://www.facebook.com/SEICorporateHeadquarters/
Understanding a UMA platform and How it Can Assist with the Fiduciary Standard
Topic I – Introduction Topic II - Model vs. Customized of Portfolios Topic III - Aggregation Topic IV - Technology Trend Topic V – Closing Comments
Guest Speaker Information Mark Boothe, Regional Vice President of Sales TCA by E*Trade Website: https://www.trustamerica.com/ Phone: 972-658-9503 Email: mark.boothe@etrade.com Mark BootheLinkedIn: https://www.linkedin.com/in/markboothe/ Company Linkedin: https://www.linkedin.com/company/tcabyetrade/
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com/b/118267280728866485410/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
You Don't Know What You Don't Know - BD Registration Discussion with Kim McEnaney
Topic I - Introduction Topic II - 14 Standards of admission Topic III - Surprises during the New Member Application (NMA) process Topic IV - FINRA fees and ongoing Fees Topic V - Other regulatory bodies to consider Topic VI - Closing Comments
Guest Speaker Information Kim McEnaney, President Cerulean Securities Compliance Website: http://www.ceruleancompliance.com/ Phone: (816) 858-7880 Company LinkedIn: https://www.linkedin.com/company/cerulean-securities-compliance-llc/ Linkedin: https://www.linkedin.com/in/kimberly-mcenaney-cams-09305848/ Twitter: https://twitter.com/ceruleancomp
Guest Speaker: Rob Erwin - Rob is a Information Security Architect working at a top 50 fortune 500 Food and Consumer Goods company for the past two years. Prior to that, his Architecture and Security career spanned over 16 years span in the defense industry. He is a Certified Information Systems Security Architect Professional (CISSP-ISSAP) and a SABSA Chartered Security Architect Practioner (SCP). Most of his current focus is on developing secure architectures for new cloud based systems as well as on-prem migrations to the cloud.
LinkedIn Bio - https://www.linkedin.com/in/robert-erwin-6442528/
Topic 1: Intro Topic 2: Important Terms Topic 3: Security Issues with SaaS Topic 4: Soutions
Resources:
Cloud Security Alliance https://cloudsecurityalliance.org/
CSO by IDG https://www.csoonline.com/
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com/b/118267280728866485410/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Topic 1 - Structural part of a business continuity plan overview Topic 2 - Analysis, solution design, implementation Topic 3 - Testing, acceptance, and maintaince Topic 4 - Tips for a strong BCP SEC - https://www.sec.gov/investment/im-guidance-2016-04.pdf
Hurricane Florence Relief
American Red Cross https://www.redcross.org/ To give blood: Make an appointment by using the Red Cross Blood Donor App, visiting redcrossblood.org or calling 1-800-733-2767. To donate money: Visit redcross.org, call 1-800-733-2767 or text the word FLORENCE to 90999 to make a $10 donation. Food Bank of North Carolina The food bank’s website to donate funds. https://secure2.convio.net/fbnc/site/Donation2;jsessionid=00000000.app274b?df_id=11202&mfc_pref=T&11202.donation=form1&s_src=lpage&s_subsrc=fbcenc&NONCE_TOKEN=7D840A92EEB326AF3BF73952BDB70D44 To donate food, visit a distribution centers in Durham, Raleigh, New Bern, Greenville, the Sandhills/Southern Pines or Wilmington. http://www.foodbankcenc.org/site/TR?px=1395030&fr_id=1122&pg=personal The Salvation Army To give, visit give.helpsalvationarmy.org/give/166081/#!/donation/checkout or mail a check to The Salvation Army-Disaster Relief, P.O. Box 1959, Atlanta, GA 30301. Include the name of the disaster relief effort on the check. To donate by phone, call 1-800-725-2769.
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/
Host Info. Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/ Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/ Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Clearing the Air - OBAs, Fees, and Custody
Topic 1 - OBAs
Topic 2 - Fees
Topic 3 - Custody
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com/b/118267280728866485410/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
You Get an Audit and You Get an Audit! Everybody Gets an Audit! Topic: Audit tips and tricks
Resources:
SEC 2018 National Examination Priorities https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2018.pdf
NASAA 2017 Investment Adviser Coordinated Exams Report http://www.nasaa.org/wp-content/uploads/2011/10/2017-IA-Coordinated-Examinations.pdf
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com/b/118267280728866485410/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
Topic 1 – Stan Lee Case Topic 2 – Regulatory Compliance Guidance Topic 3 – Financial Exploitation Reporting
Financial Services Institute https://financialservices.org/elderabuse/
AARP Foundation ElderWatch
https://www.aarp.org/aarp-foundation/our-work/income/elderwatch/
Consumer Financial Protection Bureau
https://www.consumerfinance.gov/
Internet Crime Complaint Center
https://www.ic3.gov/default.aspx
NASAA Serve Our Seniors
http://serveourseniors.org/
U.S. Administration on Aging
https://www.acl.gov/about-acl/administration-aging
FINRA www.FINRA.org
National Fraud Information Center fraud.org Toll Free: 800-876-7060
Call the Abuse Hotline, 24 hours a day, 7 days a week, toll-free 1-800-252-5400 from anywhere in the US to report abuse or neglect that occurred in Texas.
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com/b/118267280728866485410/
Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/
Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/
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