Wealth Compliance Leaders InvestorCOM Inc.

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

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

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...

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...

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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

 

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