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.

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  

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.

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

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

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

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/