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.

Nancy provides best practices and controls firms can implement to improve their compliance and what firms with proprietary products need to focus on. She also discusses what's next from regulators on the CFR file.

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

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

== For more information ==

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?

== For more information == 

InvestorCOM Website: https://investorcom.com/

InvestorCOM Social Media: 

Twitter: https://twitter.com/InvestorCOMInc

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

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. 

== For more information == 

InvestorCOM Website: https://investorcom.com/

InvestorCOM Social Media: 

Twitter: https://twitter.com/InvestorCOMInc

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

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.

== For more information ==

InvestorCOM Website:  https://investorcom.com/

InvestorCOM Social Media:

Twitter: https://twitter.com/InvestorCOMInc

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

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.

== For more information ==

InvestorCOM Website:  https://investorcom.com/

InvestorCOM Social Media:

Twitter: https://twitter.com/InvestorCOMInc

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

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 ==

InvestorCOM Website:  https://investorcom.com/

InvestorCOM Social Media:

Twitter: https://twitter.com/InvestorCOMInc

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

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 ==   

InvestorCOM Website:  https://investorcom.com/​   

InvestorCOM Social Media:  

Twitter: https://twitter.com/InvestorCOMInc

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