Wealth Compliance Leaders

Wealth Compliance Leaders

By InvestorCOM Inc.Technology
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Wealth Compliance Leaders episodes

  • Wealth Compliance Leaders featuring Nancy Mehrad, CEO and Co-Founder at Registrant Law

    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.

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

    14 min
  • Wealth Compliance Leaders featuring Ryan George, CMO at Docupace

    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/investorcominc

    12 min
  • Wealth Compliance Leaders featuring Gary Davis Jr, Operations & Compliance Executive

    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...

    21 min
  • Wealth Compliance Leaders featuring Ryan Smith, Partner at Practus, LLP

    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...
    You can also find us on Spotify, Google Podcasts, iHeartRadio

    13 min
  • Wealth Compliance Leaders featuring Craig Iskowitz, Founder and CEO of Ezra Group LLC

    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

     

    20 min
  • Wealth Compliance Leaders featuring Naresh Tejpal, Managing Director, Capital Markets at the IIAC

    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

    14 min
  • Wealth Compliance Leaders featuring Jim Sommerfield, Sr. Compliance Officer at Wintrust Wealth Management

    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

     

    13 min
  • Wealth Compliance Leaders featuring Iqan Hainsworth-Fadaei, Attorney at Michael Best and Friedrich LLP

    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

    19 min
  • Wealth Compliance Leaders featuring Randy Barnes from InvestorCOM - Part 2

    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


    10 min
  • Wealth Compliance Leaders featuring Andrea McGrew, Senior Counsel at Warner Norcross + Judd

    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

    12 min

About Wealth Compliance Leaders

From the publisher's feed

Wealth Compliance Leaders features exceptional leaders from the wealth management industry. In this series, we speak with senior industry, regulatory, and technology executives to discuss wealth management and compliance challenges.