Wealth Compliance Leaders

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In today’s conversation, we met with Nancy Mehrad, CEO & Securities Lawyer of Registrant Law to review the CSA & CIRO’s examination findings regarding Conflicts of Interest as it relates to the Client Focused Reforms.

Where we review key exam findings along with what practices and controls can be implemented to improve their compliance.

General observations on the exam findings and what practices should firms deploy to improve their compliance and practices
What do firms with proprietary products need to focus on, and
What’s next from regulators on the CFR file?

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Today we chat with Ryan George, Chief Marketing Officer at Docupace.

At Docupace, Ryan is responsible for the company’s brand awareness, early-stage sales pipeline, content strategies, customer and industry insights, internal and external communications, design, and events.

In this episode, we ask Ryan ...

As a veteran in the wealth management industry, you've worn many hats. What has that journey been like?
In just the past 2-3 years alone, there have been many material changes in wealth management regulation – how does someone in the industry keep up?
In your experience, what are some best practices for dealing with regulatory change, and what role does tech play in adapting to new regulations?
If Ryan had a magic wand, what would you do to transform the industry for the better?

== For more information == InvestorCOM Website: https://investorcom.com/ InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc LinkedIn: https://www.linkedin.com/company/inve...

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Today we talk with Gary Davis Jr, an accomplished operations and compliance executive with more than 25 years of experience helping clients with the ever-changing regulatory landscape.

In this episode, we ask Gary ...

As a veteran in the regulatory and compliance industry, what has that journey been like, and what has he learned?
In just the past two years, there has been a lot of fairly material change in wealth management regulation – how does someone in the compliance industry keep up?
What are some best practices for dealing with regulatory change, and what role does tech play in adapting to new regulations?
If he had a magic wand, what would you do to transform the industry for the better?

== For more information == InvestorCOM Website: https://investorcom.com/ InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc LinkedIn: https://www.linkedin.com/company/inve...

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In today’s conversation, we talk with Ryan Smith, Partner at Practus, LLP.

Ryan helps broker-dealers, registered investment advisers and their associates spend more time growing their business by handling a wide range of legal and compliance responsibilities. This includes advising them on matters related to the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 and SEC and FINRA rules; counseling them during regulatory inquiries and arbitration proceedings; and serving as Chief Compliance Officer.

Before joining Practus, Ryan served as in-house counsel for nearly 20 years for two broker-dealers and a self-regulatory organization where, in addition to the above, he advised them on a variety of issues arising under the Securities Act of 1933; oversaw reporting to the Consolidated Audit Trail (CAT) and other regulatory submissions; and managed a regulatory surveillance unit.

In this episode, we ask Ryan ...

If there are a series of events that led to his interest in the topic of financial market regulation
Why the focus on both BDs and IAs to consider costs and reasonable alternatives at the time of recommendations is under the magnifying lens
How he believes the financial advisory industry will change in a decade from today
If he had a magic wand what he'd do to improve our industry for the better

== For more information == InvestorCOM Website: https://investorcom.com/ InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc LinkedIn: https://www.linkedin.com/company/inve...

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In today’s conversation, we talk with Craig Iskowitz, Founder and CEO at Ezra Group.

Craig Iskowitz is a business and technology strategy consultant who is a recognized expert on wealth management technology. He founded Ezra Group, a strategy consulting firm providing technology and business advice to banks, broker-dealers, asset managers, private equity and fintech firms.

In this episode, we ask Craig:

The emerging digital wealth themes he’s observing in the wealthtech landscape
How would you advise firms who are looking at the emerging regulatory changes in the industry – i.e., Marketing Rule, Regulation Best Interest, PTE 2020-02 – should they buy technology or should they build in-house?
How do you advise clients who are looking at a new regulation and considering tackling it manually or taking a digital first approach?
Is there a perfect world, where an advisory desktop can be as fluid and digitized as possible and what will it take for our industry to get there?

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In today’s conversation, we chat with Naresh Tejpal, Managing Director, Capital Markets at the Investment Industry Association of Canada. For context, Naresh brings over 35 years of Capital Markets experience to the conversation and was most recently Managing Director and Head of Global Markets Advisory Compliance (Canada) with RBC.

In this episode, we chat with Naresh to find out:

The series of events that led to Naresh's interest in the topic of financial market regulation.
What he'd do if he could transform the industry for the better.
His thoughts on how folks in business and compliance can embrace regulations in a strategic way.

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In today’s conversation, we chat with Jim Sommerfield, Senior Compliance Officer at Wintrust Wealth Management.

With over 25 years of industry experience, Jim has seen it and done it all including the development, implementation, and management of Wintrust’s ongoing compliance programs including surveillance of firm sales practices.

In this episode, we chat with Jim to find out:

His career journey and the series of events that led to his interest in financial market regulation.
His thoughts on how folks in business and compliance can embrace regulations such as Reg BI and DOL’s PTE requirements in a strategic way.
What keeps him up at night as he contemplates the confluence of regulatory expectations, examinations, etc.
What Jim would do if he could transform the industry for the better.

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In today’s conversation, we chat with Iqan Hainsworth-Fadaei. Iqan advises clients on securities and financial services regulation and I can tell you that clients appreciate his commitment to keeping them compliant with the regulations relating to capital raising, brokerage and investment services.

In this episode, we chat with Iqan to find out:

His interesting journey in the financial services industry, what led to his current role and what he's learned along the way.
His suggestions on how legal and compliance professionals can keep up to date with amount of material change in the wealth management regulation.
Best practices for dealing with regulatory change and the role tech plays.
What Iqan would do if he could transform the industry for the better.

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In today’s conversation, we're re-joined by Randy Barnes, Director of Sales and Product Engineering at InvestorCOM. Randy is a wealth industry veteran and has dedicated his career to digitizing the advisor’s desktop.

In this episode, we chat with Randy to find out:

What he has learned in conversations with clients about Regulation Best Interest (Reg BI) and the DOL's PTE 2020-02
How InvestorCOM's compliance dashboard supports clients in completing their Retrospective Review process
What would keep Randy up at night if he were doing the job of a Chief Compliance Officer

== For more information ==

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In this episode, we chat with Andrea McGrew, a veteran in the regulatory and compliance industry who has worn many hats.

After 18 years as in-house Chief Legal Officer and Chief Compliance Officer, Andrea recently made the transition to Warner Norcross + Judd, one of the largest and most respected business law firms in Michigan.

Learn more about Andrea and her thoughts on how to keep up with regulatory change in the wealth industry, embracing the role of technology, and her wish for transforming the industry for the better.

== For more information ==

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In this episode, we interviewed Craig Watanabe, Director of IA Compliance at DFPG Investments LLC.

Craig entered the securities industry in 1983 and he has had a very successful career as a financial planner, branch manager, Chief Operating Officer and Chief Compliance Officer. Craig dedicates his time to advancing the wealth management and compliance profession.

A very interesting and insightful discussion that you won't want to miss.

== For more information ==

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Today we chatted with Marc Goffaux Chief Compliance officer at Hawkeye Wealth Ltd. In this episode, Marc discusses his background, his role as a CCO and his views on the most recent regulations facing the wealth advisory industry.

Specifically, we ask Marc:

• What were the series of events that led to his interest in the wealth compliance industry.

• His thoughts on the Client Focused Reforms (CFRs) and how he believes it will shape our industry going forward

• The role he believes technology plays in helping firms and advisors fulfill their CFR obligations

• The top things he would do to transform the wealth industry

== For more information ==

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In today’s conversation, we chatted with Nick Shaheen, Chief Compliance Officer at Financial Services of America. In this episode, You’ll hear more about Nick’s background, his role as a CCO, and his views on the most recent regulations facing the wealth advisory industry.

Questions we ask Nick in this episode:

• How his career as a CCO got started

• His thoughts on how the culmination of new regulations, such as Reg BI and the DOL’s PTE2020-02, will shape our industry going forward

• In the face of regulations, the role of technology in helping firms and advisors

• What Nick would do to make the wealth industry better

== For more information ==

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In today’s conversation, we chatted with Jason M. Pereira one of Canada’s foremost experts in financial planning. Jason is a recognized writer, public speaker, podcaster, and teacher. He is an expert in all things related to financial planning and fintech.

Questions we ask Jason in this episode:

• What were the series of events that led to his interest in the topic of financial market regulation

• His thoughts on the Client Focused Reforms (CFRs) and how he believes it will shape our industry going forward

• The top things Jason would do to transform the wealth industry

• The role he believes technology plays in helping firms and advisors fulfill their CFR obligations

• How he believes the financial advisory industry will change in a decade from today

== For more information ==

InvestorCOM Website: https://investorcom.com/

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In today’s conversation, we're joined by Mike Lubansky, Director of Product at RIA in a Box. Specifically, Mike will chat about

What interested him about the intersection of regulations, technology and financial advice
The top things he would do to transform our industry
Some best practices for dealing with regulatory change, and what role does tech play in adapting to new regulations
The role technology plays in helping firms and advisors fulfill their regulatory requirements * and much more...

== For more information ==

InvestorCOM Website: https://investorcom.com/

InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc

LinkedIn: https://www.linkedin.com/company/investorcominc/

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In today’s conversation, we're joined by Randy Barnes, Director of Sales and Product Engineering at InvestorCOM. Randy is a wealth industry veteran and has dedicated his career to digitizing the advisor’s desktop. You will hear about Randy’s background, the intersection of compliance and technology in the wealth management industry and what he would do if he had a magic wand. In this episode, Randy discusses:

What interested him about the intersection of regulations, technology and financial advice
What role he believes technology plays in helping firms and advisors fulfill their regulatory requirements
The top things he would do to transform the wealth industry
Best practices for dealing with regulatory change, and the role tech plays in adapting to new regulations

== For more information ==

InvestorCOM Website: https://investorcom.com/

InvestorCOM Social Media:

Twitter: https://twitter.com/InvestorCOMInc

LinkedIn: https://www.linkedin.com/company/investorcominc

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In today’s conversation, we're joined by Victoria Bello, Product Manager at RIA in a Box. You’ll get a chance to hear about Victoria’s background and her thoughts on the intersection of compliance and technology in the wealth management industry.

In this episode, Victoria discusses:

What interested her about the intersection of regulations, technology and financial advice
What role do she believes technology plays in helping firms and advisors fulfill their regulatory requirements
The top things she would do to transform the wealth industry
Best practices for dealing with regulatory change, and the role tech plays in adapting to new regulations

== For more information ==

InvestorCOM Website: https://investorcom.com/

InvestorCOM Social Media:

Twitter: https://twitter.com/InvestorCOMInc

LinkedIn: https://www.linkedin.com/company/investorcominc

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To meet the KYP requirements of the Client Focused Reforms, BMO Investments turned to InvestorCOM to provide a solution for assessing and managing BMO's product shelf.

The successful implementation of this project was led by Justitia "JP" Pak, a digital and strategy consultant with over 15 years of experience in leading enterprise technology projects. He has broad experience in developing digital strategies for businesses and leading subsequent implementations from design, delivery, and change management.

After eight years in a big four professional services firm, he’s worked with major banks and wealth management firms in Canada. His areas of focus are in accelerating digital transformation for financial services, enhancing the digital client experience, and navigating regulatory change into a competitive advantage for large financial institutions.

In this episode, JP discusses

his experience in leading the successful implementation of the KYP requirements at BMO Investments Inc, one of Canada's largest financial institutions,
the key contributors to the success of the project
his learnings post-implementation

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Bo Howell is the cofounder and CEO of Joot and joins us in today's conversation.

Bo has over 10 years of experience as a securities lawyer and chief compliance officer. He has served in roles with SEC-registered investment advisers, registered and unregistered investment companies, and broker-dealers. Bo has worked at the SEC’s Division of Investment Management, a Fortune 500 financial services company, and an innovative technology-driven law firm. Bo is a U.S. Navy veteran.

In this episode, you’ll hear Bo discuss

His experience as a securities lawyer, ex. SEC regulator and now Regtech founder
The value of technology and automation in the wealth compliance space
How compliance officers can tackle new and existing regulations

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In today’s conversation, we spoke with Jim Allen, Founder of Delahaye Advisers, a Virginia-based financial consulting enterprise about current and emerging regulations including Reg BI and the DOL’s recent rules on rollovers.

Jim was recently Head of Capital Markets Policy for the Americas at CFA Institute and held roles in journalism, investment banking, and corporate finance.

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In this episode, we had the pleasure of speaking with John Carl, Founder and President of Retirement Learning Center, the nation’s preeminent thought leader on retirement issues. A 25-year veteran of the retirement industry, John’s extensive experience includes running Alliance Capital’s Defined Contribution initiative and directing Global Product Management for the firm. He created and managed the state of Rhode Island’s 529 savings plan, CollegeBoundFund®. John has also operated as a successful branch and regional sales manager for Prudential Securities and as an independent financial advisor.

John has been featured on CNBC, CNN, Forbes, ABC News, The Wall Street Journal, USA Today, and CBS MoneyWatch.com. John released his first book in 2009, Retirement Resource Guide: Essential ERISA Education & Best Practices for Financial Advisors, which has won multiple APEX Awards for publishing excellence and serves as the basis of continuing education workshops for financial advisors and CPAs.

In this episode, you’ll hear John discuss

Key elements of the new rollover reality for advisors
Assessment of fees in the context of rollovers
Reg BI and DOL’s regulatory purview of rollover recommendations

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In today’s conversation, we had the pleasure of speaking with Jason Berkowitz, Chief Legal and Regulatory Affairs Officer from Insured Retirement Institute (IRI).

Jason is an accomplished expert on the many regulations that impact the retirement industry. His inclusive and collaborative approach to stakeholder engagement and advocacy is truly unique and engaging in many respects.

In this episode, you’ll hear about Jason’s background, what got him interested in our industry and his thoughts about DOL’s recent PTE 2020-02 requirements, Reg BI and much more.

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This episode features Nancy Mehrad, Founder and CEO of Registrant Law, a Canadian securities law firm. Nancy discusses – her two decades of experience in advising portfolio managers, investment dealers, and investment fund managers – her view on CFRs and technology and how they will transform the industry - and more. InvestorCOM Website: https://investorcom.com/, InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc, LinkedIn: https://www.linkedin.com/company/investorcominc

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This episode features Ben Westin, Chief Compliance Officer of Regal Financial Group. Ben discusses - the series of events that led to his interest in compliance - the top things he would do to transform our industry - Reg BI and how it will shape our industry going forward - the role technology plays in helping firms and advisors meet their Reg BI obligations - why regulators are focused on the Care Obligation of Reg BI - and more. InvestorCOM Website: https://investorcom.com/, InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc, LinkedIn: https://www.linkedin.com/company/investorcominc

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This episode features Rob Dearman, CEO and Chief Innovation Officer at DCG Insights. Rob discusses - his interest in the intersection of regulations, technology, and financial advice - his suggestions for transforming the industry - the biggest challenge for broker-dealers and their advisors in adopting new technology - how Rob believes Reg BI's Care Obligation will shape the future of the industry - the cost to firms that don't adopt technology - and more. InvestorCOM Website: https://investorcom.com/, InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc, LinkedIn: https://www.linkedin.com/company/investorcominc

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This episode features Tom Selman, Founder of Scopus Financial Group and former Executive Vice President of FINRA's regulatory policy division. Tom discusses - how his career got started - his thoughts on Reg BI and how will it shape the industry, indications on how the SEC will be approaching examinations and what Broker Dealers can do to prepare - the regulatory requirement for assessing Reasonably Available Alternatives what we've learned to date, and what firms should focus on in 2021 - recommendations for firms who are looking critically at their practices to meet the Care Obligation - and more. InvestorCOM Website: https://investorcom.com/

InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc, LinkedIn: https://www.linkedin.com/company/investorcominc

Wealth Compliance Leaders: Recent Episodes

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