12 min
Wealth Compliance Leaders featuring Ryan Smith, Partner at Practus, LLP Wealth Compliance Leaders
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- Technology
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...
You can also find us on Spotify, Google Podcasts, iHeartRadio
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...
You can also find us on Spotify, Google Podcasts, iHeartRadio
12 min