50 episodes

We discuss compliance topics that effect RIA firms from a former regulator's perspective.


Hosted by: Ivan Barretto and Collin O'Bryant,

The RIA Compliance Collective Ivan Barretto and Collin O'Bryant

    • News
    • 5.0 • 4 Ratings

We discuss compliance topics that effect RIA firms from a former regulator's perspective.


Hosted by: Ivan Barretto and Collin O'Bryant,

    CyberSecurity Trends

    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
    Schwab E&O Update

    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
    Tales from the Crypto

    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
    FINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAM

    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
    E & O and Digital Assets

    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/

    • 18 min
    Client Onboarding in the Digital Age

    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-/

    • 11 min

Customer Reviews

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