Wealth Compliance Leaders features exceptional leaders from the wealth management industry. In this series, we speak with senior industry, regulatory, and technology executives to discuss wealth management and compliance challenges.
This series is hosted by InvestorCOM, a provider of regulatory software solutions for wealth managers, asset managers and insurers. For more information, visit www.investorcom.com or contact us at hello@investorcom.com
Wealth Compliance Leaders featuring Nancy Mehrad, CEO and Co-Founder at Registrant Law
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
23 Aug 2023
Wealth Compliance Leaders featuring Ryan George, CMO at Docupace
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
16 Aug 2023
Wealth Compliance Leaders featuring Gary Davis Jr, Operations & Compliance Executive
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/ (https://www.youtube.com/redirect?event=video_description&redir_token=QUFFLUhqbG5iN0xzSjJGSEd5dGdncVZsVzlHczhhZS1RUXxBQ3Jtc0tuQzBFLUF0NWNGeWk0Q25XNHh0TVJOb2h4anh1NWhJLXhjUWphN2dYcVVaUTJZR1B2NnB2VTJLWjFnMjBuR3NUTHBqbHEzbEMzdHc1UFpVb281YWVyTEIwX3dMVlUtd19iUDlhY0RBYmM1blB0UElnbw&q=https%3A%2F%2Finvestorcom.com%2F&v=sfS-qITCxxk)
InvestorCOM Social Media:
Twitter: https://twitter.com/InvestorCOMInc (https://www.youtube.com/redirect?event=video_description&redir_token=QUFFLUhqazVKY0hnSTl6YnM4ZC03ZWExT01DWV9mV3FEd3xBQ3Jtc0trUG9iM2s0czNKWTdyb1lIX1hwdHN0ejVhZklUWXNuZ0tyam1RX1NtR3dUcExSbEVKd2R6SnNqaENDTjROalA2TEFfNGVnazFsekRudHY2b0xXaDVUN0txcmh2ZkM3dWhWTTV6N2t5eUNlTFhzajIycw&q=https%3A%2F%2Ftwitter.com%2FInvestorCOMInc&v=sfS-qITCxxk)
LinkedIn: https://www.linkedin.com/company/inve... (https://www.youtube.com/redirect?event=video_description&redir_token=QUFFLUhqa3FfNzdsSkFHbDZvOGJrOVlYWHVjVlBBTVFJUXxBQ3Jtc0tuZllXMVhHQmFwbmxBR0pYQ3NGaU9jTk1Zd3ZVMEtBclVQc0R4VTNLSF9rSy1fdUNVSGhlTzJNRXIzNVZoRm96WTAwcTl5ZjBheGZyTGNnR1lVZGJuV2dQU05faGFLc1lmNW41S1Iwam9CQ3NPUDRPMA&q=https%3A%2F%2Fwww.linkedin.com%2Fcompany%2Finvestorcominc&v=sfS-qITCxxk)
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