Wealth Compliance Leaders

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&...

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 j...

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 mater...

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...

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 a...

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 ser...

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 jo...

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...

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 Inve...

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...

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 insi...

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 o...

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 o...

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 fin...

In today’s conversation, we're joined by Mike Lubansky, Director of Product at RIA in a Box. Specifically, Mike will chat about   What interested him about the intersection of regulations, technology and financial advice  The top things he would do to transform our industry  Some best practices for dealing with regulatory change, and what role does tech play in adapting to new regul...

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, Rand...

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: What interested her about the intersection of regulations, technology and financial advice What role do she believes...

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 d...

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 financia...

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 th...

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 th...

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: Tw...

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 Ca...

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 in...