The RIA Compliance Collective

Ivan Barretto and Collin O'Bryant
  • 5.0 (5)
  • BUSINESS NEWS
  • UPDATED DAILY

We discuss compliance topics that effect RIA firms from a former regulator's perspective. Hosted by: Ivan Barretto

  1. 12/22/2021

    CyberSecurity Trends

    Wes Stillman Bio:   Wes Stillman is the Chief Executive Officer of RightSize Solutions. After 30+ years of managing technology in high-level positions, Wes began RightSize Solutions in 2002 because RIAs needed a technology partner who really understood their needs. More than 13 years later, he remains committed to understanding every nuance of his clients’ businesses.   Topic I - What are some of the lessons learned in 2021?   Topic II - What the responsibilities that RIAs have when it comes to IT and cybersecurity?   Topic III - From a practical standpoint, what is the most important best practice that people should use?   Topic IV - What is Predictive Ransomware Protection?   Topic V - Even the SEC was a target of cyber-criminals, how did the happen?   Topic VI - Finally, where do you see the future of IT management and cybersecurity as we enter 2022?   Guest Speaker Information:   Wes Stillman, CEO LinkedIn: https://www.linkedin.com/in/wes-stillman-ba2a75/ Company Information:   RightSize Solutions Website: http://www.rightsize-solutions.com/ Company LinkedIn: https://www.linkedin.com/company/right-size-solutions/ In the News: https://www.rightsize-solutions.com/resources/in-the-news/ Tech Trends: https://www.rightsize-solutions.com/resources/tech-trends/ RightSize will be at the 2022 Investment Adviser Compliance Conference https://investmentadviser.org/events/compliance-conference/

    23 min

  2. 10/29/2021

    Schwab E&O Update

    Schwab E&O Update Show Notes Topic I: Schwab E&O Update Topic II: Crypto ETF Guest Speaker Info: Chad Ramberg, President Box Professional Insurance, LLC Phone: 817-865-1519 Email: Chad.Ramberg@boxproinsurance.com  Website: www.boxproinsurance.com  Chad's LinkedIn: https://www.linkedin.com/in/chad-ramberg-71278533/  Advisors can email that address below and put in the subject line – “Do I meet the Schwab requirements?”  RIAview@BoxProInsurance.com Please attach a copy of the insurance coverage in place including the following.  E&OCyberCrime / Crime Bond

    16 min

  3. 09/29/2021

    Tales from the Crypto

    Tales from the Crypto Introduction Topic 1 - Why are there so many crypto scams Topic 2 - What are the main types of crypto scams Topic 3 - How do some of them get so big? Topic 4 - Some of the biggest scams and Ponzi schemes in crypto are still going and still scamming people even after regulators have stepped in and labeled them as scams- how is that even possible? Topic 5 - What makes people fall for the scams? Topic 6 - Have scams negatively affected crypto, or is it just a phase that crypto will go past? Outro Speaker Bio: Erica Stanford is the author of Crypto Wars: Faked Deaths, Missing Billions, and Industry Disruption about the biggest hacks and scams in crypto. She is also the Founder of the crypto community, the Crypto Curry Club, which publishes Blockchain Industry Review.  She is a frequent speaker and commentator on both use cases and applications of cryptocurrency as well as on crypto scams. She is an Associate Guest Lecturer at Warwick Business School on crypto use cases. She is part of VC-backed crypto wallet and DEX startup Cent Finance. She also works part-time at CMS law firm advising on crypto and fintech strategy. Erica Stanford's Linkedin: https://www.linkedin.com/in/ericastanford/ Crypto Wars: Faked Deaths, Missing Billions and Industry Disruption about the biggest hacks and scams in crypto. https://www.amazon.co.uk/Crypto-Wars-Billions-Industry-Disruption/dp/1398600687/?geniuslink=true

    24 min

  4. 09/14/2021

    FINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAM

    FINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAM Podcast Show Notes I. Intro II. How do you define brand? III. Four Steps to up-leveling your brand IV. Where do you go from there? Susan Danzig, Business Development Expert Website: https://www.susandanzig.com/ Phone: (925) 954-1773 Email: susan@susandanzig.com Facebook: https://www.facebook.com/SusanDanzigLLC/ LinkedIn: https://www.linkedin.com/in/susandanzig/ Go to www.financialadvisorsuccessquiz.com and take the quiz now.

    21 min

  5. 08/17/2021

    E & O and Digital Assets

    E&O Digital Assets Intro Topic 1 - E & O trends Topic 2 - Digital Assets E & O Guest Speaker Info: Chad Ramberg, President Box Professional Insurance, LLC Phone: 817-865-1519 Email: Chad.Ramberg@boxproinsurance.com  Website: www.boxproinsurance.com  Chad's LinkedIn: https://www.linkedin.com/in/chad-ramberg-71278533/

    19 min

  6. 08/03/2021

    Client Onboarding in the Digital Age

    Sebastian Skwarek is the Co-Founder of PreciseFP Company Website: https://precisefp.com/ 7 day Free trial: https://app.precisefp.com/signup Facebook: https://www.facebook.com/precisefp/ Twitter: https://twitter.com/PreciseFP LinkedIn: https://www.linkedin.com/in/sebastianskwarek/ PreciseFP LinkedIn: https://www.linkedin.com/company/precisefp---spectrum-input-llc-/

    12 min

  7. 07/07/2021

    Fieldcraft - Cyber Security Training

    Brian Hahn Founder MTradecraft Linkedin: https://www.linkedin.com/in/jbrianhahn/   Speaker Bio: Brian is founded of MTradecraft in 2009. Mtradecraft serves all financial institutions, with focused expertise in the RIA, broker-dealer, hedge fund, and family office space. MTradecraft supports over 180 clients nationwide.       MTradecraft Website: https://www.mtradecraft.com/ Phone: 210-264-2578 Email: info@mtradecraft.com LinkedIn: https://www.linkedin.com/company/mtradecraft/     Here is the webpage for Fieldcraft: https://www.mtradecraft.com/fieldcraft.html   Here is a Youtube video with a Demo: https://youtu.be/jcGhpMeza0I   If firms are interested, that can request a free demo account here: https://www.mtradecraft.com/fieldcraftdemo.html

    15 min

  8. 07/07/2021

    How to Create a Podcast

    Podcast outline I.                    Intro II.                  Equipment Needed III.                Fiverr (Podcast name, Editing, Artwork) IV.               Podcast Recording (Zencastr) V.                 Podcast Publishing (Podcast.co) VI.               Audiogram (Headliner) VII.              Podcast Guests (Matchmaker) VIII.            Outro Samson Go Mic https://www.amazon.com/Samson-Mic-Portable-Condenser-Microphone/dp/B001R76D42/ref=sr_1_5?crid=3CXXKPKMHZUHE&dchild=1&keywords=samson+go+mic+portable+usb+condenser+microphone&qid=1625673465&sprefix=samson+go+mic%2Caps%2C206&sr=8-5 Jabra Elite 85t https://www.amazon.com/Jabra-Wireless-Bluetooth-Earbuds-Titanium/dp/B08HR78C46/ref=sr_1_1_sspa?dchild=1&keywords=jabra+elite+85t&qid=1625673593&sr=8-1-spons&psc=1&spLa=ZW5jcnlwdGVkUXVhbGlmaWVyPUExUlpLUVVFVDlMUTRDJmVuY3J5cHRlZElkPUEwMzEzMDEwM1BRN08wU0VUS1lZOCZlbmNyeXB0ZWRBZElkPUEwMjY0NTcxMlVMQlVNTEFFNkZMTCZ3aWRnZXROYW1lPXNwX2F0ZiZhY3Rpb249Y2xpY2tSZWRpcmVjdCZkb05vdExvZ0NsaWNrPXRydWU= Fiverr www.fiverr.com Zencastr https://zencastr.com/ Podcast.co https://www.podcast.co/ Matchmaker https://www.matchmaker.fm/home

    7 min
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We discuss compliance topics that effect RIA firms from a former regulator's perspective. Hosted by: Ivan Barretto

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