InvestorCOM Inc.

Wealth Compliance Leaders

Technology EN ↓ 26 episoder

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. This series is hosted by InvestorCOM, a provider of regulatory software solutions for wealth managers, asset managers and insurers. For more information, visit www.investorcom.com or contact us at hello@investorcom.com

Forfatter

InvestorCOM Inc.

Kategori

Technology

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Siste episode

11. sep 2023

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Episoder

Wealth Compliance Leaders featuring Tom Selman, Founder of Scopus Financial Group 25.03.2021 10:46

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 Reasonab...