Explore insightful conversations with industry leaders who thrive in the complexities of highly regulated markets. From overcoming challenges to seizing opportunities, we uncover the strategies that drive success in compliance-heavy industries. Hosted by Lowell Thompson Co-Founder of Superset.
Guest info:
Kristin Prieur is the RIA Compliance Rockstar, Director of Compliance Services at Key Bridge Compliance with extensive work experience making her the ideal guest to discuss these these topics.
Key Bridge Compliance is a boutique consulting firm revolutionizing the regulatory landscape for SEC-registered investment advisers. With a passion for empowering advisory practices, we offer compliance solutions that leverage cutting-edge technology and industry expertise. Our compliance services not only help you meet regulatory requirements but also enhance your reputation, increase client trust, and create a competitive advantage in the marketplace. From Firms seeking to launch their independent RIA, to established Firms, KBC provides practical and effective consulting services to allow RIAs to launch or grow their practice.
With broad industry experience and a culture of continuous learning, we guide our client's past compliance-related risks every day. We also are dedicated to consistently providing outstanding personal service. We believe our clients should truly enjoy their interactions with us. We strive to become a trusted extension of every team we have the opportunity to serve.
Lowell Thompson and Superset links
https://www.linkedin.com/in/lowell-t-2227b074/
https://www.trustsuperset.com/
Kristin Prieur links:
http://www.keybridgecompliance.com/
https://www.linkedin.com/in/kristin-prieur-iaccp/
Timestamps:
0:00 – Introduction to Data Dilemmas and guest Kristin Prieur from Key Bridge Compliance
0:14 – Trump 2025: How the Administration is reshaping compliance for investment advisers and fintech
0:35 – SEC changes: Leadership approval now required for formal investigations
1:29 – Impact of new approval steps on investigation speed and firm operations
2:39 – How CEOs and compliance leaders should adapt to regulatory slowdowns
3:39 – Key pending regulations: Custody rule changes, cybersecurity, and customer protection
4:43 – Executive Order: Repealing 10 regulations for every new one introduced
5:51 – How deregulation could both ease business processes and increase complexity
6:29 – Cybersecurity remains a top regulatory priority despite deregulation
7:14 – The impact of mandatory cybersecurity policies on smaller firms
8:01 – How new AML (Anti-Money Laundering) regulations will affect RIA firms in 2026
9:09 – The growing trend of outsourcing compliance and its future under deregulation
10:00 – What firms need to know about the upcoming AML law changes
10:38 – Staying up-to-date: Kristen’s go-to compliance resources and networking groups
11:21 – How will AI and crypto regulations evolve under Trump’s administration?
12:00 – Potential minimal crypto regulations vs. broader AI scrutiny
12:47 – Compliance advice for firms using AI: Best practices and risks
14:01 – Listener question: Will deregulation affect SEC reporting standards?
15:10 – Top compliance headaches for 2025: Cybersecurity, privacy laws, conflicts of interest
16:00 – SEC focus on asset classes: Annuities, leveraged ETFs, and more
16:29 – Where to find Kristen Prier online and closing remarks
