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 ==

InvestorCOM Website:  https://investorcom.com/

InvestorCOM Social Media:

Twitter: https://twitter.com/InvestorCOMInc

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

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 ==

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 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 ==   

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 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/​   

InvestorCOM Social Media:  

Twitter: https://twitter.com/InvestorCOMInc

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

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

 == 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 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

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:

== For more information ==   

InvestorCOM Website: https://investorcom.com/

InvestorCOM Social Media: 

Twitter: https://twitter.com/InvestorCOMInc

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

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  

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:  

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