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Focused Compounding
Focused CompoundingEp 449. Focused Compounding's Plan for Parks! AmericaPRKAproxyfight.com   The implementation of this plan is contingent on the election of Focused Compounding’s four (4) director-nominees at the Company’s Annual Meeting. The financial forecasts contained herein are not a guaranty of what will happen, but rather are based on our market knowledge, and what we believe to be conservative forecasts. Focused Compounding is currently in a proxy contest with the Company, the outcome of which may determine the future of the Company. The Plan outlines what Focused Compounding’s nominees would propose to do if they are elected to the Board o...
2024-05-1046 minFocused Compounding
Focused CompoundingEp 431. Parks! America, Inc.: Failures in Capital Allocation, Corporate Governance, and Business Basicshttps://www.prkaproxyfight.com/ If you have any questions, require assistance in voting your BLUE proxy card, or need additional copies of the Focused Compounding Group’s proxy materials, please contact InvestorCom at the phone numbers or email address listed below. InvestorCom 19 Old Kings Highway S. Suite 130 Darien, CT 06820 Shareholders may call toll-free: (877) 972-0090 Banks and brokers call: (203) 972-9300 E-mail: Proxy@investor-com.com Additional Information Focused Compounding Group, LP, Focused Compounding Capital Management, LLC, Andrew Kuhn, Geoffrey Gannon and James Ford (collectively, the “Focused Compounding Group”) have f...
2024-02-131h 36Wealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Nancy Mehrad, CEO and Co-Founder at Registrant LawIn 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
2023-09-1113 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Ryan George, CMO at DocupaceToday 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 chan...
2023-08-2311 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Gary Davis Jr, Operations & Compliance ExecutiveToday 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 ne...
2023-08-1620 minThe Customer Wins
The Customer WinsTips for Addressing Financial Regulatory Compliance Requirements With Parham NasseriParham Nasseri is the Vice President of Product and Regulatory Strategy for InvestorCOM, a leading provider of regulatory compliance software and communications solutions for the financial services industry. He is a Chartered Financial Analyst (CFA) with an MBA from the Schulich School of Business. Parham has progressive experience in data-centric roles relating to technology and finance. He is involved in the Canadian RegTech Association, CFA Society Toronto, and was the Chair of The Canadian Advocacy Council. In this episode… As an investor, are you hesitant to make financial decisions because of the complex re...
2023-07-3137 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Ryan Smith, Partner at Practus, LLPIn 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 ad...
2023-07-1812 minWealthTech Today
WealthTech TodayEp. 188: Scaling Success: How Compliance Tech Drives Business Growth with Parham Nasseri, InvestorCOMThe post Ep. 188: Scaling Success: How Compliance Tech Drives Business Growth with Parham Nasseri, InvestorCOM appeared first on and was written by Craig Iskowitz. Come on in and sit back relax, you’re listening to Episode 188 of the WealthTech Today podcast. I’m your host, Craig Iskowitz, founder of Ezra Group Consulting and this podcast features interviews, news and analysis on the trends and best practices all around Wealth Management Technology. My guest for this episode is Parham Nasseri from […] The post Ep. 188: Scaling Success: How Compliance Tech Drives Business Growth with Parham Nasseri, InvestorCOM appear...
2023-06-1100 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Craig Iskowitz, Founder and CEO of Ezra Group LLCIn today’s conversation, we talk with Craig Iskowitz, Founder and CEO at Ezra Group.    Craig Iskowitz is a business and technology strategy consultant who is a recognized expert on wealth management technology. He founded Ezra Group, a strategy consulting firm providing technology and business advice to banks, broker-dealers, asset managers, private equity and fintech firms. In this episode, we ask Craig:    * The emerging digital wealth themes he’s observing in the wealthtech landscape * How would you advise firms who are looking at the emerging regulatory changes in the in...
2023-06-0619 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Naresh Tejpal, Managing Director, Capital Markets at the IIACIn today’s conversation, we chat with Naresh Tejpal, Managing Director, Capital Markets at the Investment Industry Association of Canada. For context, Naresh brings over 35 years of Capital Markets experience to the conversation and was most recently Managing Director and Head of Global Markets Advisory Compliance (Canada) with RBC.    In this episode, we chat with Naresh to find out:    * The series of events that led to Naresh's interest in the topic of financial market regulation.  * What he'd do if he could transform the industry for the better.  * His thou...
2023-05-1613 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Jim Sommerfield, Sr. Compliance Officer at Wintrust Wealth ManagementIn today’s conversation, we chat with Jim Sommerfield, Senior Compliance Officer at Wintrust Wealth Management.  With over 25 years of industry experience, Jim has seen it and done it all including the development, implementation, and management of Wintrust’s ongoing compliance programs including surveillance of firm sales practices.  In this episode, we chat with Jim to find out:  * His career journey and the series of events that led to his interest in financial market regulation.  * His thoughts on how folks in business and compliance can embrace regulations such as Reg BI and DOL’...
2023-05-1012 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Iqan Hainsworth-Fadaei, Attorney at Michael Best and Friedrich LLPIn today’s conversation, we chat with Iqan Hainsworth-Fadaei. Iqan advises clients on securities and financial services regulation and I can tell you that clients appreciate his commitment to keeping them compliant with the regulations relating to capital raising, brokerage and investment services. In this episode, we chat with Iqan to find out: * His interesting journey in the financial services industry, what led to his current role and what he's learned along the way. * His suggestions on how legal and compliance professionals can keep up to date with amount of material change in th...
2023-03-1018 minFintech Impact
Fintech ImpactInvestorCom with Dave Carr-Pries | E266Jason talks to Dave Carr-Pries, Vice President – consulting services at InvestorCom. Today they are going to talk about how the implementation of CFR and Reg BI has basically panned out in the last year and where the successes and challenges are? Episode Highlights1.31: InvestorCom is a fintech company, they provide software really focusing on helping the industry make better financial decisions, and with that means their focus is on compliance solutions that aim to make being compliant as intuitive as possible and removing friction and barriers from advisors of dealers. 2.58: Without an advisor or an inve...
2023-02-2833 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Randy Barnes from InvestorCOM - Part 2In today’s conversation, we're re-joined by Randy Barnes, Director of Sales and Product Engineering at InvestorCOM. Randy is a wealth industry veteran and has dedicated his career to digitizing the advisor’s desktop.  In this episode, we chat with Randy to find out: * What he has learned in conversations with clients about Regulation Best Interest (Reg BI) and the DOL's PTE 2020-02 * How InvestorCOM's compliance dashboard supports clients in completing their Retrospective Review process * What would keep Randy up at night if he were doing the job of a...
2023-02-1509 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Andrea McGrew, Senior Counsel at Warner Norcross + JuddIn this episode, we chat with Andrea McGrew, a veteran in the regulatory and compliance industry who has worn many hats.  After 18 years as in-house Chief Legal Officer and Chief Compliance Officer, Andrea recently made the transition to Warner Norcross + Judd,  one of the largest and most respected business law firms in Michigan.   Learn more about Andrea and her thoughts on how to keep up with regulatory change in the wealth industry, embracing the role of technology, and her wish for transforming the industry for the better.    == For more information ==    I...
2023-01-2011 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Craig Watanabe, Director of IA Compliance at DFPG Investments LLCIn this episode, we interviewed Craig Watanabe, Director of IA Compliance at DFPG Investments LLC. Craig entered the securities industry in 1983 and he has had a very successful career as a financial planner, branch manager, Chief Operating Officer and Chief Compliance Officer. Craig dedicates his time to advancing the wealth management and compliance profession.   A very interesting and insightful discussion that you won't want to miss. == For more information == InvestorCOM Website:  https://investorcom.com/ InvestorCOM Social Media: Twitter: https://twitter.com/In...
2023-01-1014 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Marc Goffaux, Chief Compliance Officer at Hawkeye Wealth LtdToday we chatted with Marc Goffaux Chief Compliance officer at Hawkeye Wealth Ltd. In this episode, Marc discusses his background, his role as a CCO and his views on the most recent regulations facing the wealth advisory industry.    Specifically, we ask Marc:    • What were the series of events that led to his interest in the wealth compliance industry.   • His thoughts on the Client Focused Reforms (CFRs) and how he believes it will shape our industry going forward   • The role he believes technology plays in helping firms and advisors fulfill their CFR obligations...
2022-09-0613 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Nick Shaheen, CCO at Financial Services of AmericaIn today’s conversation, we chatted with Nick Shaheen, Chief Compliance Officer at Financial Services of America. In this episode, You’ll hear more about Nick’s background, his role as a CCO, and his views on the most recent regulations facing the wealth advisory industry.    Questions we ask Nick in this episode:    • How his career as a CCO got started   • His thoughts on how the culmination of new regulations, such as Reg BI and the DOL’s PTE2020-02, will shape our industry going forward    • In the face of regulations, the role of technolog...
2022-08-1216 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Jason Pereira from Woodgate FinancialIn today’s conversation, we chatted with Jason M. Pereira one of Canada’s foremost experts in financial planning. Jason is a recognized writer, public speaker, podcaster, and teacher. He is an expert in all things related to financial planning and fintech.    Questions we ask Jason in this episode:    • What were the series of events that led to his interest in the topic of financial market regulation   • His thoughts on the Client Focused Reforms (CFRs) and how he believes it will shape our industry going forward   • The top things Jason would do to transform...
2022-08-1114 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Mike Lubansky from RIA in a BoxIn today’s conversation, we're joined by Mike Lubansky, Director of Product at RIA in a Box. Specifically, Mike will chat about   What interested him about the intersection of regulations, technology and financial advice  The top things he would do to transform our industry  Some best practices for dealing with regulatory change, and what role does tech play in adapting to new regulations   The role technology plays in helping firms and advisors fulfill their regulatory requirements * and much more...    == For more information ==    InvestorCOM Website:  https://investorcom.com/​   InvestorCOM Social Media:  Twitter: https...
2022-07-2511 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Randy Barnes from InvestorCOMIn today’s conversation, we're joined by Randy Barnes, Director of Sales and Product Engineering at InvestorCOM. Randy is a wealth industry veteran and has dedicated his career to digitizing the advisor’s desktop. You will hear about Randy’s background, the intersection of compliance and technology in the wealth management industry and what he would do if he had a magic wand. In this episode, Randy discusses:  * What interested him about the intersection of regulations, technology and financial advice  * What role he believes technology plays in helping firms and advisors fulfill their regulatory requirements  * T...
2022-07-1208 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Victoria Bello, Product Manager at RIA in a BoxIn today’s conversation, we're joined by Victoria Bello, Product Manager at RIA in a Box. You’ll get a chance to hear about Victoria’s background and her thoughts on the intersection of compliance and technology in the wealth management industry. In this episode, Victoria discusses: What interested her about the intersection of regulations, technology and financial advice What role do she believes technology plays in helping firms and advisors fulfill their regulatory requirements The top things she would do to transform the wealth industry Best practices for dealing with regulatory change, and the role tech p...
2022-07-0508 minRegTech Round-up
RegTech Round-upInnovation and Investor Protection in Wealth ManagementIn this episode, host Paul McRorie speaks with Parham Nasseri, VP Regulatory Strategy and Partnerships at InvestorCOM and Noel Sequiera, Manager, Membership Intake & Business Conduct Compliance at IIROC.  Noel and Parham discuss the changing landscape in wealth management. They discuss some of the new trends such as greater customization, new product impact, and the use of gamification tools, the role of the industry and the regulators in educating investors and how they see the wealth industry evolving. 
2022-02-2523 minWealth Compliance Leaders
Wealth Compliance LeadersImplementing KYP Requirements at BMO Investments - Client Focused Reforms Case Study - Justitia PakTo meet the KYP requirements of the Client Focused Reforms, BMO Investments turned to InvestorCOM to provide a solution for assessing and managing BMO's product shelf.   The successful implementation of this project was led by Justitia "JP" Pak, a digital and strategy consultant with over 15 years of experience in leading enterprise technology projects. He has broad experience in developing digital strategies for businesses and leading subsequent implementations from design, delivery, and change management.   After eight years in a big four professional services firm, he’s worked with major banks and wealth management firms in Canada.  His a...
2022-02-1608 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Bo Howell, Cofounder and CEO of JootBo Howell is the cofounder and CEO of Joot and joins us in today's conversation.    Bo has over 10 years of experience as a securities lawyer and chief compliance officer. He has served in roles with SEC-registered investment advisers, registered and unregistered investment companies, and broker-dealers. Bo has worked at the SEC’s Division of Investment Management, a Fortune 500 financial services company, and an innovative technology-driven law firm. Bo is a U.S. Navy veteran.   In this episode, you’ll hear Bo discuss   His experience as a securities lawyer, ex. SEC regulator and now Regtech founder ...
2022-01-2508 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Jim Allen, Founder of Delahaye AdvisersIn today’s conversation, we spoke with Jim Allen, Founder of Delahaye Advisers, a Virginia-based financial consulting enterprise about current and emerging regulations including Reg BI and the DOL’s recent rules on rollovers.     Jim was recently Head of Capital Markets Policy for the Americas at CFA Institute and held roles in journalism, investment banking, and corporate finance.
2021-12-2413 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring John Carl, President of Retirement Learning CenterIn this episode, we had the pleasure of speaking with John Carl, Founder and President of Retirement Learning Center, the nation’s preeminent thought leader on retirement issues. A 25-year veteran of the retirement industry, John’s extensive experience includes running Alliance Capital’s Defined Contribution initiative and directing Global Product Management for the firm. He created and managed the state of Rhode Island’s 529 savings plan, CollegeBoundFund®. John has also operated as a successful branch and regional sales manager for Prudential Securities and as an independent financial advisor.   John has been featured on CNBC, CNN, Forbes, ABC News...
2021-12-2414 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Jason Berkowitz from Insured Retirement Institute (IRI)In today’s conversation, we had the pleasure of speaking with Jason Berkowitz, Chief Legal and Regulatory Affairs Officer from Insured Retirement Institute (IRI).  Jason is an accomplished expert on the many regulations that impact the retirement industry. His inclusive and collaborative approach to stakeholder engagement and advocacy is truly unique and engaging in many respects.  In this episode, you’ll hear about Jason’s background, what got him interested in our industry and his thoughts about DOL’s recent PTE 2020-02 requirements, Reg BI and much more.
2021-12-1618 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Nancy Mehrad, Founder & CEO of Registrant LawThis episode features Nancy Mehrad, Founder and CEO of Registrant Law, a Canadian securities law firm. Nancy discusses – her two decades of experience in advising portfolio managers, investment dealers, and investment fund managers – her view on CFRs and technology and how they will transform the industry - and more. InvestorCOM Website: https://investorcom.com/, InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc, LinkedIn: https://www.linkedin.com/company/investorcominc
2021-12-1609 minFintech Impact
Fintech ImpactInvestorCOM with David Reeve | E193On today’s episode, Jason is going to talk to David Reeve CEO of InvestorCOM. The company is a provider of regulatory compliance software and communications solutions for wealth managers, asset managers, and insurers in the financial services industry.  Episode Highlights:00.34: InvestorCom has been around for over 25 years. For the last decade, we have been working exclusively in the wealth management industry and specifically helping wealth firms deal with new regulations, says David.01.35: David says they managed documents for industries like wealth management and other financial services sectors that are very document heavy. The business really...
2021-10-0530 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Ben Westin, Chief Compliance Officer of Regal Financial GroupThis episode features Ben Westin, Chief Compliance Officer of Regal Financial Group. Ben discusses - the series of events that led to his interest in compliance - the top things he would do to transform our industry - Reg BI and how it will shape our industry going forward - the role technology plays in helping firms and advisors meet their Reg BI obligations - why regulators are focused on the Care Obligation of Reg BI - and more. InvestorCOM Website: https://investorcom.com/, InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc, LinkedIn: https://www.linkedin.com/company/investorcominc
2021-09-1613 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Rob Dearman, CEO and Chief Innovation Officer of DCG InsightThis episode features Rob Dearman, CEO and Chief Innovation Officer at DCG Insights. Rob discusses - his interest in the intersection of regulations, technology, and financial advice - his suggestions for transforming the industry - the biggest challenge for broker-dealers and their advisors in adopting new technology - how Rob believes Reg BI's Care Obligation will shape the future of the industry - the cost to firms that don't adopt technology - and more. InvestorCOM Website: https://investorcom.com/, InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc, LinkedIn: https://www.linkedin.com/company/investorcominc
2021-09-1624 minFinancial Planning For Canadian Business Owners
Financial Planning For Canadian Business OwnersClient Focused Reforms with Parham Nasseri | E068In today’s episode, Jason and Guest Parham Nasseri is going to discuss a bit different subject. They are going to talk about the implementation of something known as client-focused reforms. This is one of the biggest series of regulatory changes to happen in the investment industry in Canadian history. While the average consumer may not really have an understanding for what’s going to happen or know what was going to change for them. These reforms will change the way your advisor has to operate and actually interact with you.Episode Highlights:1.44: Parham Nasseri work...
2021-08-1937 minToughest Call with Chaz Thorne
Toughest Call with Chaz ThorneReinvigorating a 30-year-old business modelIn this episode I’m talking with Dave Reeve about a tough call he made transitioning his 28-year-old business from a service model to software. Dave is the CEO of InvestorCOM, a leading compliance technology provider to the wealth management industry. Like many other leaders I’ve talked to recently, Covid helped hasten a change that was in the works for some time. Interestingly, it wasn’t making the call that was tough but the implementation of it. What was particularly challenging was managing the difficult conversations with staff that inevitably happen when you transition out of a longstanding pillar of you...
2021-06-1420 minToughest Call with Chaz Thorne
Toughest Call with Chaz ThorneReinvigorating a 30-year-old business modelIn this episode I’m talking with Dave Reeve about a tough call he made transitioning his 28-year-old business from a service model to software. Dave is the CEO of InvestorCOM, a leading compliance technology provider to the wealth management industry.  Like many other leaders I’ve talked to recently, Covid helped hasten a change that was in the works for some time. Interestingly, it wasn’t making the call that was tough but the implementation of it. What was particularly challenging was managing the difficult conversations with staff that in...
2021-06-1320 minRegTech Round-up
RegTech Round-upClient Focused Reforms: Compliance Tick Box or Strategic Opportunity?In this weeks episode Paul McRorie sits down with Parham Nasseri, Vice President of Regulatory Strategy & Partnerships at InvestorCOM Inc. and Justitia Pak, Business Process and Compliance Digitalization lead, at BMO Financial Group. 
2021-05-0826 minWealth Compliance Leaders
Wealth Compliance LeadersWealth Compliance Leaders featuring Tom Selman, Founder of Scopus Financial GroupThis episode features Tom Selman, Founder of Scopus Financial Group and former Executive Vice President of FINRA's regulatory policy division. Tom discusses - how his career got started - his thoughts on Reg BI and how will it shape the industry, indications on how the SEC will be approaching examinations and what Broker Dealers can do to prepare - the regulatory requirement for assessing Reasonably Available Alternatives what we've learned to date, and what firms should focus on in 2021 - recommendations for firms who are looking critically at their practices to meet the Care Obligation - and more. InvestorCOM...
2021-03-2510 min