Explore insightful conversations with industry leaders who thrive in the complexities of highly regulated markets. From overcoming challenges to seizing opportunities, we uncover the strategies that drive success in compliance-heavy industries. Hosted by Lowell Thompson Co-Founder of Superset.
Data Dilemmas
Claim This Podcastby Lowell Thompson
4 episodes
Updated Daily
Accepts GuestsHas SponsorsLocation 🇺🇸
20
Podcast Authority
BetaPoorBased on show quality, social media presence, reviews, charts, and more
Quality39
Social0
YouTube0
Engagement0
Podcast Overview
Explore insightful conversations with industry leaders who thrive in the complexities of highly regulated markets. From overcoming challenges to seizing opportunities, we uncover the strategies that drive success in compliance-heavy industries. Hosted by Lowell Thompson Co-Founder of Superset.
Language
🇺🇲
Publishing Since
1/22/2025
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20
Podcast Authority
BetaPoorBased on show quality, social media presence, reviews, charts, and more
Quality39
Social0
YouTube0
Engagement0
7
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12
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excellent
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Recent Episodes
February 12, 2025
SEC & Compliance Under President Trump 2025: Crypto, AI, Cybersecurity, and AML with Kristin Prieur Ep 004
<p>Explore insightful conversations with industry leaders who thrive in the complexities of highly regulated markets. From overcoming challenges to seizing opportunities, we uncover the strategies that drive success in compliance-heavy industries. Hosted by Lowell Thompson Co-Founder of Superset.</p><p><br></p><p>Guest info:</p><p>Kristin Prieur is the RIA Compliance Rockstar, Director of Compliance Services at Key Bridge Compliance with extensive work experience making her the ideal guest to discuss these these topics.</p><p>Key Bridge Compliance is a boutique consulting firm revolutionizing the regulatory landscape for SEC-registered investment advisers. With a passion for empowering advisory practices, we offer compliance solutions that leverage cutting-edge technology and industry expertise. Our compliance services not only help you meet regulatory requirements but also enhance your reputation, increase client trust, and create a competitive advantage in the marketplace. From Firms seeking to launch their independent RIA, to established Firms, KBC provides practical and effective consulting services to allow RIAs to launch or grow their practice.</p><p><br></p><p>With broad industry experience and a culture of continuous learning, we guide our client's past compliance-related risks every day. We also are dedicated to consistently providing outstanding personal service. We believe our clients should truly enjoy their interactions with us. We strive to become a trusted extension of every team we have the opportunity to serve.</p><p>Lowell Thompson and Superset links</p><p><a href="https://www.linkedin.com/in/lowell-t-2227b074/" target="_blank" rel="ugc noopener noreferrer">https://www.linkedin.com/in/lowell-t-2227b074/</a></p><p>https://www.trustsuperset.com/</p><p>Kristin Prieur links:</p><p>http://www.keybridgecompliance.com/</p><p><a href="https://www.linkedin.com/in/kristin-prieur-iaccp/" target="_blank" rel="ugc noopener noreferrer">https://www.linkedin.com/in/kristin-prieur-iaccp/</a></p><p>Timestamps:</p><p>0:00 – Introduction to Data Dilemmas and guest Kristin Prieur from Key Bridge Compliance</p><p>0:14 – Trump 2025: How the Administration is reshaping compliance for investment advisers and fintech</p><p>0:35 – SEC changes: Leadership approval now required for formal investigations</p><p>1:29 – Impact of new approval steps on investigation speed and firm operations</p><p>2:39 – How CEOs and compliance leaders should adapt to regulatory slowdowns</p><p>3:39 – Key pending regulations: Custody rule changes, cybersecurity, and customer protection</p><p>4:43 – Executive Order: Repealing 10 regulations for every new one introduced</p><p>5:51 – How deregulation could both ease business processes and increase complexity</p><p>6:29 – Cybersecurity remains a top regulatory priority despite deregulation</p><p>7:14 – The impact of mandatory cybersecurity policies on smaller firms</p><p>8:01 – How new AML (Anti-Money Laundering) regulations will affect RIA firms in 2026</p><p>9:09 – The growing trend of outsourcing compliance and its future under deregulation</p><p>10:00 – What firms need to know about the upcoming AML law changes</p><p>10:38 – Staying up-to-date: Kristen’s go-to compliance resources and networking groups</p><p>11:21 – How will AI and crypto regulations evolve under Trump’s administration?</p><p>12:00 – Potential minimal crypto regulations vs. broader AI scrutiny</p><p>12:47 – Compliance advice for firms using AI: Best practices and risks</p><p>14:01 – Listener question: Will deregulation affect SEC reporting standards?</p><p>15:10 – Top compliance headaches for 2025: Cybersecurity, privacy laws, conflicts of interest</p><p>16:00 – SEC focus on asset classes: Annuities, leveraged ETFs, and more</p><p>16:29 – Where to find Kristen Prier online and closing remarks</p><p><br></p>
February 5, 2025
Tap, Pay, Save: Reinventing Banking with Patrick Enin, CEO of MoneSave Ep 003
<p> Explore insightful conversations with industry leaders who thrive in the complexities of highly regulated markets. From overcoming challenges to seizing opportunities, we uncover the strategies that drive success in compliance-heavy industries. Hosted by Lowell Thompson Co-Founder of Superset. </p> <p><br></p> <p> Guest:</p> <p>In a world where social media is so prevalent, we as a society, are still isolated when it comes to savings. Our mission is to make Payments & Investing, a traditionally boring topic, fun and social again!</p> <p>At Monesave, We provide our Users with <a href="https://monesave.shop/products/easy-setup-payment-ring-black"><strong>Contactless Payment Rings</strong></a> to make payments conveniently while also investing effortlessly each time you spend. We are not a bank, because thats boring! <strong>Monesave</strong>.... is a global, boundary-free, fintech focused on our customers.<br>With Monesave, you have a comunity of users to encourage and spur you on.</p> <p> </p> <p>Lowell's links</p> <p>https://www.linkedin.com/in/lowell-t-2227b074/</p> <p>https://www.trustsuperset.com/</p> <p><br></p> <p>Patrick's links</p> <p>https://www.linkedin.com/in/patrick-enin/</p> <p>https://monesave.com/ </p> <p>Timestamps: </p> <p>0:00 - Introduction Patrick Enin, CEO of MoneSave</p> <p>0:06 - The Mission: Making Saving Painless</p> <p>0:30 - How the MoneSave Payment Ring Works</p> <p>1:40 - MoneSave’s Unique Approach</p> <p>2:50 - Security & User Protection</p> <p>3:50 - Why Diversifying Your Banks is Essential</p> <p>4:50 - The Challenge of Introducing New Financial Habits</p> <p>6:00 - Competing with AMEX & Centurion: A Premium Experience for Everyone</p> <p>7:15 - Compliance Challenges in Fintech</p> <p>9:30 - Balancing Compliance, Investors, and Customers</p> <p>11:00 - Best Practices for Navigating Compliance as a Startup</p> <p>12:50 - Managing Runway and Development Timelines</p> <p>14:30 - The Reality of Launching a Fintech App</p> <p>16:50 - Pivoting Based on Data: From Savings App to Payment Ecosystem</p> <p>19:00 - The Rise of Payment Rings</p> <p>21:00 - The Compliance Balancing Act</p> <p>24:00 - Why Customer Experience is Key in Compliance & Banking</p> <p>27:00 - The Power of Customer-Focused Compliance</p> <p>29:00 - Looking Ahead: MoneSave’s 2025 Goals</p> <p>32:50 - Where to Find MoneSave & The Payment Ring</p> <p><br> </p>
January 29, 2025
Mythbusting Testimonials in Financial Services with Allie Zendrian Ep 002
<p>Explore insightful conversations with industry leaders who thrive in the complexities of highly regulated markets. From overcoming challenges to seizing opportunities, we uncover the strategies that drive success in compliance-heavy industries. Hosted by Lowell Thompson Co-Founder of Superset. </p> <p>AtoZ Communications shares brands’ stories within the areas of financial services, fintech, healthtech, healthcare, coaching and more. </p> <p>Specializing in crafting narratives that resonate and taking the necessary steps to ensure messages reaches their target audience effectively, AtoZ Communications’ expertise includes writing press releases and developing creative thought leadership articles, among other methods of disseminating messages. </p> <p>Led by a former reporter, AtoZ Communications clients’ receive skilled proactive media relations and media training. </p> <p>Lowell’s Links</p> <p>https://www.linkedin.com/in/lowell-t-2227b074/</p> <p>Alexandra Zendrian’s Links</p> <p>https://www.atozcommunications.biz/</p> <p>0:00 - Introduction Guest introduction: Allie, Founder of A to Z Communications</p> <p>0:15 - Compliance Challenges in Financial and Healthcare Sectors</p> <p>0:32 - Financial Advisors’ Fear of Testimonials</p> <p>1:00 - Mythbusting: Testimonials in Financial Services</p> <p>1:28 - Compliance in Healthcare Testimonials</p> <p>2:10 - Key Testimonial Rules in Highly Regulated Markets</p> <p>3:00 - The Right Way to Gather Testimonials</p> <p>4:10 - Best Practices for Managing Testimonials</p> <p>5:20 - Leveraging Testimonials for Marketing & PR</p> <p>6:30 - Using Testimonials for Brand Growth</p> <p>7:18 - Closing Remarks & Where to Find Allie</p> <p><br /> </p>
4 total episodes available
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This podcast updates daily.
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This podcast is available on 4 platforms including Apple Podcasts, Spotify, and more. You can also use the RSS feed directly.
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