Shows
The RIA Compliance CollectiveCyberSecurity TrendsWes 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 prac...
2021-12-2223 minThe RIA Compliance CollectiveSchwab 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...
2021-10-2916 minThe RIA Compliance CollectiveTales from the CryptoTales 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...
2021-09-2924 minThe RIA Compliance CollectiveFINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAMFINANCIAL 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.
2021-09-1421 minThe RIA Compliance CollectiveE & O and Digital AssetsE&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/
2021-08-1718 minThe RIA Compliance CollectiveClient Onboarding in the Digital AgeSebastian 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-/
2021-08-0311 minThe RIA Compliance CollectiveFieldcraft - Cyber Security TrainingBrian 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...
2021-07-0714 minThe RIA Compliance CollectiveHow to Create a PodcastPodcast 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...
2021-07-0707 minThe RIA Compliance CollectiveCryptocurrencies: What You Need to Know?Jimmy Song is a Bitcoin developer, educator and entrepreneur. He's an open source contributor to many different Bitcoin projects. He is the author of Programming Bitcoin from O'Reilly, The Little Bitcoin Book and Thank God for Bitcoin. Jimmy writes a weekly newsletter, Bitcoin Tech Talk and has a podcast Bitcoin Fixes This
Speaker Information:
Jimmy Song
Linkedin: https://www.linkedin.com/in/jimmysong/
Bitcoin Fixes This Podcast
https://open.spotify.com/show/6jEPeE4yhsoZJrDRcs9dLN?si=etZGcr7sQReKYcYRop3o-Q&dl_branch=1
2021-06-3017 minThe RIA Compliance CollectiveWhat the NFT?What the NFT?
Intro
Topic - What is an NFT?
Topic - Compliance and NFT
Topic - NFT and Charity
Outro
Speaker Information:
Marc Moglen
Principal, AU3d.IO
Website: https://www.au3d.io/
LinkedIn: https://www.linkedin.com/company/au3dio/about/
Marc's LinkedIn:
https://www.linkedin.com/in/marcmoglen/
2021-06-2315 minThe RIA Compliance CollectiveKnowing Your NumbersTopic 1 - Why do I need to know my numbers?
Topic 2 - What do the numbers tell me?
Topic 3 - What's inside the numbers?
Topic 4 - How do your numbers compare to others?
Topic 5 - What is my Firm worth?
Topic 6 - How do good numbers help throughout the year in the tax process?
Topic 7 - What are the advantages of proactively planning the taxes?
Topic 8 Is a valuation important for tax purposes?
Topic 9 - What are the top items you would suggest...
2021-06-0939 minThe RIA Compliance CollectiveClearing the Air XIntro
Topic I: Changes in DOL
Topic 2: 5 Part Test
Topic 3: Proposed exemptions
Outro
Department of Labor News Release
https://www.dol.gov/newsroom/releases/ebsa/ebsa20200629
2020-09-0913 minThe RIA Compliance CollectiveAll things Cyber SecurityShow Notes
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.
Intro
Topic I – Problem with Basic Cyber Security Training
Topic II – Issues with the SEC guidance regarding Cyber Security
Topic III – Most significant Cyber Security Treats
Topic IV – Password hygiene?
Topic V – Brian’s...
2020-08-1926 minThe RIA Compliance CollectiveBills, Bills, Bills: A New Way to Help and Protect Your Senior ClientsMarci is Founder and General Counsel of SilverBills.com which she launched in 2014. SilverBills receives, scrutinizes and stores clients’ household bills and ensures that bills are paid correctly and on time. SilverBills greatly reduces clients’ need for help writing checks and managing household bills, which can be a portal to fraud and theft. SilverBills provides services throughout the United States and often partners with families, financial planners, attorneys, and social workers.
SilverBills has been featured in numerous national publications and Marci speaks frequently on a variety of topics. SilverBills is also listed by AARP as a trusted COVID...
2020-08-1218 minThe RIA Compliance CollectiveUnderstanding Succession and ValuationIntro
Topic I - Why do I need a succession plan if I don't plan on retiring?
Topic II - How do I determine the value of my business / practice?
Topic III - What should be considering if I am looking to break away from my current firm?
Topic IV - Upcoming events
Speaker Bio
Terry Mullen, CEO
Truelytics
Terry is a seasoned executive, board member, entrepreneur, and active private investor. After a 29-year career in Financial services distribution as a Senior Executive wit...
2020-08-0527 minThe RIA Compliance CollectiveLeading with Compassion and Clarity During COVIDIntro
Leading with Compassion and Clarity During COVID by Dr. Josh Williams
RIACC Q&A and Discussion
Dr. Josh Williams is a Partner with Propulo Consulting, a global management consulting firm specializing in operational excellence and safety culture improvement.
For over 20 years, Josh has partnered with clients around the world to drive increased discretionary effort and improved strategic execution. A partial list of clients includes Genentech, The Marines, Monsanto, NASA, Pfizer, Pratt and Whitney, Singapore Technologies and other companies in the biotech, aerospace, construction, oil and gas, military, utilities, and pharmaceutical...
2020-07-2924 minThe RIA Compliance CollectiveIt's about time! Modernizing the RIA advertising rulesMike Langford is the founder and CEO of finservMarketing, a consulting firm that specializes in providing best in class marketing strategies and content creation for the financial services industry.
Outline:
Topic I Intro
Topic II - Mike's overview of modernizing the advertising rules
Topic III - Marketing vs Advertising
Topic IV - Testimonials, Endorsements, etc.
Topic V - Pre-Review and Approval
Outro
SEC Proposes to Modernize the Advertising
https://www.sec.gov/news/press-release/2019-230
finservMarketing Website: https://www.finservmarket...
2020-07-2030 minThe RIA Compliance CollectiveClearing the Air IXClearing the Air IX
Intro
Topic I – Remote Regulatory Examinations
Topic II – Wrap Fee Program Update
Topic III – Financial Planning Retainer Model
Outro
Helpful Links:
5 tips to prepare for an RIA exam
https://www.riacc.io/post/2017/10/13/5-tips-to-prepare-for-an-ria-exam
SEC Wrap Fee Programs Investor Alert
https://www.sec.gov/oiea/investor-alerts-and-bulletins/ib_wrapfeeprograms
Financial Planning: Why retainer fees pose question for regulators?
https://www.financial-planning.com/news/napfa-nasaa-discuss-retainer-fees
Podcast Vendor Information
Podacast.co...
2020-06-2923 min
The RIA Compliance CollectiveClearing the Air VIIITopic I - Intro Topic II - SEC 8 major areas Topic III - Digital assets and electronic investment advice Topic IV - NASAA IA Section report Topic V - Outro
SEC 2020 Examination Priorities https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2020.pdf
NASAA 2019 Investment Adviser Section Report https://www.nasaa.org/wp-content/uploads/2019/06/2019-IA-Section-Report.pdf
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram...
2020-06-0320 min
The RIA Compliance CollectiveProtecting Your Firm During the Pandemic EraRIA Compliance Concepts
Toll Free: 1-833-RIACCIO
Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
Guest Speaker Information: Chad Ramberg, President of Box Professional Insurance Linkedin: https://loom.ly/coLCBzQ
Company Information: Box Professional Insurance Website:https://loom.ly/eziht3Y Company LinkedIn: https://loom.ly/wu8B7ck S&P 500 VS Claims Chart: https://loom.ly/Foniblg
Host Information Ivan Barretto, Managing Director...
2020-05-2728 min
The RIA Compliance CollectiveCoronavirus ScamGuest Speaker Info: Dana Mantilia, Founder Identity Protection Planning Email: dmantilia@identityprotectionplanning.com
Identity Protection Planning Website: https://www.identityprotectionplanning.com/ Phone: 1-833-345-SAFE Identron Website: https://www.identron.com/ LinkedIn: https://www.linkedin.com/company/identity-protection-planning/?viewAsMember=true Facebook: https://www.facebook.com/Identron.Protection/ Youtube: https://www.youtube.com/channel/UCnKQTPi2Td2Kx7m4-1hD2cA
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram...
2020-05-1316 min
The RIA Compliance CollectiveClearing the Air VIIClearing the Air VII Show Notes I. Introduction II. Form CRS update / Covid-19 Update III. BCP/Disaster Recovery Plan Overview IV. PPP disclosure discussion V. Outro
NASAA Covid-19 Updates page https://www.nasaa.org/industry-resources/covid-19-updates/
FINRA FAQ PPP loans Form U-4 https://www.finra.org/rules-guidance/key-topics/covid-19/faq
SEC Guidance PPP loan https://www.sec.gov/investment/covid-19-response-faq
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook...
2020-05-0117 min
The RIA Compliance CollectiveClearing The Air VIIntroduction Topic I - Form CRS Update Topic II - CD Spoofiing Websites Topic III - Protecting Senior Investors Topic IV - Calculating Regulatory AUM Outro
Form CRS Instructions https://www.sec.gov/rules/final/2019/34-86032-appendix-b.pdf
SEC Risk Alert: Beware of Spoofed Websites Offering Phony Certificates of Deposit https://www.sec.gov/oiea/investor-alerts-and-bulletins/ia_phonycds
SEC How to Protect Senior Investors https://www.sec.gov/files/how-the-sec-works-to-protect-senior-investors.pdf
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com...
2019-12-1823 min
The RIA Compliance CollectiveThe Ownership Ladder - An Internal Succession DiscussionIntroduction Topic I - Bill's own experience with internal succession Topic II - Tips to find own internal successor Topic III - Red flags during the internal succession process Topic IV - Superpower and why? Outro Speaker Bio: Bill Heestand He owned Heestand Company, a qualified retirement plan and employee benefits advisory company from 1992 until 2017. The RIA practice was mostly qualified plans with some wealth management. AUM was $250 million when he retired. It is now $400 million.
He sold and installed some of the first 401(k) plans ever written starting in 1985. His dad heard the “father of 401(k)” Ted...
2019-12-1124 min
The RIA Compliance CollectiveClarifying Custody - Part IIIntro Topic I - Inadvertant Custody Topic II - Custody via Asset Transfer Authorization Topic III - Agreement with a CPA Topic IV - Suprise Examination Process and Prep Topic V - Super Power and Why? Outro
Guest Speaker Information: Rick Wilkens, CPA, CVA, Partner DeMarco Sciaccotta Wilkens & Dunleavy, LLP Linkedin: https://loom.ly/TXtOS0I
Company Information: DeMarco Sciaccotta Wilkens & Dunleavy, LLP Website:https://loom.ly/-K01JpU Company LinkedIn: https://loom.ly/0iET56I
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https...
2019-12-0416 min
The RIA Compliance CollectiveClarifying Custody - Part IIntro Topic I - Custody Rule Topic II - Subject to Suprise Examination Topic III - Agreement with a CPA Topic IV - Definition of Custody Outro
Guest Speaker Information: Rick Wilkens, CPA, CVA, Partner DeMarco Sciaccotta Wilkens & Dunleavy, LLP Linkedin: https://loom.ly/TXtOS0I
Company Information: DeMarco Sciaccotta Wilkens & Dunleavy, LLP Website:https://loom.ly/-K01JpU Company LinkedIn: https://loom.ly/0iET56I
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com...
2019-11-2717 min
The RIA Compliance CollectiveInsurance in the RIA WorldTopic I - Instroduction Topic II - RIA Business Insurance Topic III - Review your business needs Topic IV - Common Mistakes that are seen be insurance brokers Topic V - Outro
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/
Other Links: S&P 500 vs. Claims Chart https://go.pardot.com/l/741133/2019-11-01/2smyd
RIA Compliance Concepts Website: www.riacc.io Email: info@riacc.io Phone: - 1-833...
2019-11-0617 min
The RIA Compliance CollectiveClearing the Air VIntro Topic I – Recent News Topic II – Form CRS update Topic III – Compliant Process Topic IV – Proxy Voting Topic V – Outro
Other Links: XY Planning Network sues SEC over Reg BI https://www.investmentnews.com/article/20190910/FREE/190919988/xy-planning-network-sues-sec-over-reg-bi NASAA 2019 Annual Enforcement Report https://www.nasaa.org/52518/nasaa-releases-annual-enforcement-report-5/ SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice https://www.sec.gov/news/press-release/2019-158 Form CRS Instructions https://www.sec.gov/rules/final/2019/34-86032-appendix-b.pdf
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website...
2019-10-0123 min
The RIA Compliance CollectiveAt A Glance - SEC Examination Priorities Part Deux**Intro Topic I: Retail Investors, Senior and those saving for retirement Topic II: Conflicts of interest Topic III: Senior Investors and Retirement Accounts and Products Topic IV: Portfolio management and Trading Topic V: Cybersecurity Topic VI: Digital Assets Topic VII: AML Outro
Other Links: 2019 SEC Examination Priorities https://www.sec.gov/files/OCIE%202019%20Priorities.pdf**
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/
2019-09-2417 min
The RIA Compliance CollectiveProtect Your Clients - An Identity Theft Protection DiscussionAn Identity Theft Protection Discussion with Dana Mantilla, Founder of Identity Protection Planning - Identron
Intro Topic I - Is identity theft a really a big deal? Topic II - Is credit monitoring sufficient? Topic III - B2B opportunities for advisers Topic IV - Should this be offered as servies to clients? Outro
Guest Speaker Info: Dana Mantilla, Founder Identity Protection Planning Email: dmantilia@identityprotectionplanning.com
Identity Protection Planning Website: https://www.identityprotectionplanning.com/ Phone: 1-833-345-SAFE Identron Website: https://www.identron.com/ LinkedIn: https://www.linkedin.com/company/identity-protection-planning/?viewAsMember...
2019-08-2114 min
The RIA Compliance CollectiveAt a glance - SEC Examination PrioritiesIntro Topic I Preventing Fraud, Topic II Indentifying and Montioring Risk Topic III Informing Policy Topic IV Promoting Compliance Topic V Compliance Issues Related to Best Execution Topic VI Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers Topic VII Obersevations from IA Examination relating to Electronic Messaging Topic VIII Supervisory Review Topic IX Privacy / Reg SP and Third Party Security Topic X Safeguarding Customer Records and Information in Network Storage
SEC 2019 Examination Priorties https://www.sec.gov/files/OCIE%202019%20Priorities.pdf
NASAA 2017 IA Coordinated Examinations Report https://s30730.pcdn.co/wp-content...
2019-08-1323 min
The RIA Compliance CollectiveClearing the Air IVIntro Topic I - Vendor Breach - Now What? Topic II - Questions to ask regarding the vendor breach? Topic III - Example of reporting requirements Topic IV - Senior Safe Act Discussion Outro
National Conference of State Legislatures State Security Breach Notifcation Laws http://www.ncsl.org/research/telecommunications-and-information-technology/security-breach-notification-laws.aspx
SEC Senior Safe Act Press Release https://www.sec.gov/news/press-release/2019-75
2019-07-0212 min
The RIA Compliance CollectiveA Deep Dive Into Reg BIIntro Topic I – Overview Of The New Regulation Best Interest Topic II – Best Interest Obligation and Key Areas of Obligation Topic III – Books and Records Requirements Topic IV – Next Steps To Remain in Compliance Outro
Guest Speaker Information: Mary Ellen Storey, Vice President Cerulean Securities Compliance Mary Ellen’s Linkedin: https://loom.ly/UBKmzDE
Company Website: https://loom.ly/BoOjuZg Phone: (816) 858-7880 Company LinkedIn: https://loom.ly/sOV7X14 Company Twitter: https://loom.ly/utsslWk
Other informative links:
Form CRS Relationship Summary; Amendments to Form ADV https://loom.ly/0epzpSY
Regulati...
2019-06-2531 min
The RIA Compliance CollectiveArchive This!Show Notes Intro Topic 1 – The Dawn of Cobalt Archive Topic 2 – Archiving meets Books and Records Requirement Topic 3 – Supervision Topic 4 – Features of Cobalt Archive and Benefits Topic 5 – Superhero Question Outro
Guest Speaker Info: Sue Lemm, Linkedin: https://www.linkedin.com/in/suelemm/
Blockchain and Compliance Archiving https://www.linkedin.com/pulse/blockchain-compliance-archiving-sue-lemm/
Company Website: https://cobaltarchive.com/ Company LinkedIn: https://www.linkedin.com/company/cobaltarchive/ Company Facebook: https://www.facebook.com/cobaltarchive Company Twitter: https://twitter.com/CobaltArchive
2019-06-1917 min
The RIA Compliance CollectiveClearing The Air IIIIntro Topic I - Continuing Education for IARs? Topic II - Robo Adviser FAQs Topic III - Correspondence vs. Advertising Clarification
NASAA - Survey Regarding Continuing Education for investment adviser representatives http://www.nasaa.org/industry-resources/investment-advisers/nasaa-survey-regarding-continuing-education-for-investment-adviser-representatives/
SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers https://www.sec.gov/news/pressrelease/2017-52.html
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www...
2019-06-0322 min
The RIA Compliance CollectiveClearing the Air IIClearing the Air II
Intro Topic 1 - Solicitors Topic 2 - Net Cap Requirements Topic 3 - Custody, More Custody
SEC Risk Alert - Solicitation https://www.sec.gov/files/OCIE%20Risk%20Alert%20-%20Cash%20Solicitation.pdf
SEC - Custody Gudiance Links SEC No Action Letter - 2/21/17 https://www.sec.gov/divisions/investment/noaction/2017/investment-adviser-association-022117-206-4.htm SEC IM Guidance No. 2017-01 https://www.sec.gov/investment/im-guidance-2017-01.pdf SEC Staff Responses to Questions About the Custody Rule - https://www.sec.gov/divisions/investment/custody_faq_030510.htm
RIA Compliance Concepts...
2019-05-2824 min
The RIA Compliance CollectiveOn The Move - A Mobile Cyber Security DiscussionShow Notes: 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 – Introduction Topic II – Concerns regarding the creation of customized mobile apps Topic III – Mobile cybersecurity challenges Topic IV - Best practice recommendations Topic – Closing Remarks
Guest Speaker Information:
Wes Stillman, CEO LinkedIn: https://www.linkedin.com/in/wes...
2019-05-2122 min
The RIA Compliance CollectiveInsurance - It's Not Just For Your Clients!Show Notes: Jessica Thayer Bio:
Jessica Thayer is the Senior Vice President and Practice Leader of Starkweather Financial Institutions Risk Solutions, an industry specific practice group focused solely on assisting and guiding Investment Advisors, Mutual Funds, Private Funds, Broker Dealers and Private Equity Firms towards successful and efficient risk transfer solutions. Thayer and the Starkweather Financial Institutions Risk Solutions team are specialists in Directors & Offices Liability, Errors & Omissions, Fidelity, Cyber Security, Employment Practices Liability, and Fiduciary Liability.
Topic I – Introduction Topic II – What is E&O and the common claims? Topic III – What is covered by a C...
2019-05-1420 min
The RIA Compliance CollectiveEngagement in the Social Media AgeShow Notes: Mike Langford Bio:
Mike Langford is the founder and CEO of finservMarketing, a consulting firm that specializes in providing best in class marketing strategies and content creation for the financial services industry.
Topic I – Introduction Topic II – The Importance of digital marketing and engagement Topic III – What is Social Sentiment? Topic IV – Dangers of Social Sentiment Topic – Closing Remarks
Guest Speaker Information:
Mike Langford, Founder and CEO Mike Langford LinkedIn: https://www.linkedin.com/in/mikelangford2/
Company Info:
finservMarketing Website: https://www.finservmarketing.com/ Company Linkedin...
2019-05-0735 min
The RIA Compliance CollectivePlan Fiduciary 101Allison Brecher Bio: Allison is the General Counsel at Vestwell, where she leads the legal, compliance, and data privacy operations at the company. She has practiced in the ERISA, employee benefits, and privacy areas for more than 20 years. She brings her prior experience as in-house counsel at global Fortune 200 companies to a startup and she enjoys using her expertise to educate plan sponsors, advisors, and others about the legal and compliance issues involved with operating their retirement plans.
Topic I – Introduction Topic II – Fiduciary Duties of ERISA Topic III – Can a plan sponsor delegate all of its fiduci...
2019-05-0121 min
The RIA Compliance CollectiveSocial Media: Friend Not FoeThibaud Clément Bio: Thibaud is the CEO of Loomly, a collaborative brand success platform that helps marketing teams create better content for their audience. He’s a self-taught programmer and has, over the years, created and been part of some very interesting startups.
Topic I – Introduction Topic II – The Birth of Loomly Topic III – Social Media Workflow process Topic IV – Closing Comments
Guest Speaker Information: Thibaud Clément, CEO Thibaud Clément LinkedIn: https://www.linkedin.com/in/thibaudclement/
Company Info: Loomly Website: https://www.loomly.com/ Company Linkedin: https://www.linkedin.com/company/l...
2019-04-1624 min
The RIA Compliance CollectiveThe Times Are A Changin' - Insurance Services In The RIA World with Matt MeyerMatt Meyer Bio:
Matt currently serves as Founder and Managing Partner of The BluePrint Insurance Services, a partner of a leading life insurance and annuity marketing company in the country, AimcoR Group. Matt specializes in working with financial advisors on complex estate and business planning issues. He takes a holistic planning approach and prides himself on speaking the same language as RIAs and comprehensive financial advisors.
He’s able to so because he’s been in the insurance and financial services business for the last two decades. He’s gained extensive experience consulting large organizations on the...
2018-12-0321 min
The RIA Compliance CollectiveShow Your Work - Vendor Management Discussion with John AndersonGuest Speaker: John Anderson - John Anderson is a Managing Director and Head of Practice Management for SEI’s Advisors Solutions network. John has over 30 years of experience in various roles in the financial services industry, has been with SEI for over 20 years, and is also the lead author of SEI’s practice management blog, Practically Speaking©, which is designed to help financial advisors improve client relationships and develop more effective marketing programs. LinkedIn: https://www.linkedin.com/in/seijohna/ Twitter: https://twitter.com/SEIJohnA
Topic 1: Practice Management and TAMPs Topic 2: Vendor Management Due Diligence Topic 3: How to Ch...
2018-11-2031 min
The RIA Compliance CollectiveUnderstanding a UMA platform and How it Can Assist with the Fiduciary Standard with Mark BootheUnderstanding a UMA platform and How it Can Assist with the Fiduciary Standard
Topic I – Introduction Topic II - Model vs. Customized of Portfolios Topic III - Aggregation Topic IV - Technology Trend Topic V – Closing Comments
Guest Speaker Information Mark Boothe, Regional Vice President of Sales TCA by E*Trade Website: https://www.trustamerica.com/ Phone: 972-658-9503 Email: mark.boothe@etrade.com Mark BootheLinkedIn: https://www.linkedin.com/in/markboothe/ Company Linkedin: https://www.linkedin.com/company/tcabyetrade/
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riac...
2018-11-1307 min
The RIA Compliance CollectiveYou Don't Know What You Don't Know - BD Registration Discussion with Kim McEnaneyYou Don't Know What You Don't Know - BD Registration Discussion with Kim McEnaney
Topic I - Introduction Topic II - 14 Standards of admission Topic III - Surprises during the New Member Application (NMA) process Topic IV - FINRA fees and ongoing Fees Topic V - Other regulatory bodies to consider Topic VI - Closing Comments
Guest Speaker Information Kim McEnaney, President Cerulean Securities Compliance Website: http://www.ceruleancompliance.com/ Phone: (816) 858-7880 Company LinkedIn: https://www.linkedin.com/company/cerulean-securities-compliance-llc/ Linkedin: https://www.linkedin.com/in/kimberly-mcenaney-cams-09305848/ Twitter: https://twitter.com/ceruleancomp
2018-10-3130 min
The RIA Compliance CollectiveCyber Security - Where's my data?Guest Speaker: Rob Erwin - Rob is a Information Security Architect working at a top 50 fortune 500 Food and Consumer Goods company for the past two years. Prior to that, his Architecture and Security career spanned over 16 years span in the defense industry. He is a Certified Information Systems Security Architect Professional (CISSP-ISSAP) and a SABSA Chartered Security Architect Practioner (SCP). Most of his current focus is on developing secure architectures for new cloud based systems as well as on-prem migrations to the cloud.
LinkedIn Bio - https://www.linkedin.com/in/robert-erwin-6442528/
Topic 1: Intro Topic 2...
2018-10-0318 min
The RIA Compliance CollectiveBusiness Continuity - Hope the best, plan for the worst!Topic 1 - Structural part of a business continuity plan overview Topic 2 - Analysis, solution design, implementation Topic 3 - Testing, acceptance, and maintaince Topic 4 - Tips for a strong BCP SEC - https://www.sec.gov/investment/im-guidance-2016-04.pdf
Hurricane Florence Relief
American Red Cross https://www.redcross.org/ To give blood: Make an appointment by using the Red Cross Blood Donor App, visiting redcrossblood.org or calling 1-800-733-2767. To donate money: Visit redcross.org, call 1-800-733-2767 or text the word FLORENCE to 90999 to make a $10 donation.
2018-09-1717 min
The RIA Compliance CollectiveClearing the Air - OBAs, Fees and CustodyClearing the Air - OBAs, Fees, and Custody
Topic 1 - OBAs
Topic 2 - Fees
Topic 3 - Custody
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com/b/118267280728866485410/
Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/
Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016...
2018-09-0820 min
The RIA Compliance CollectiveYou Get an Audit and You Get an Audit! Everybody Gets an Audit!You Get an Audit and You Get an Audit! Everybody Gets an Audit! Topic: Audit tips and tricks
Resources:
SEC 2018 National Examination Priorities https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2018.pdf
NASAA 2017 Investment Adviser Coordinated Exams Report http://www.nasaa.org/wp-content/uploads/2011/10/2017-IA-Coordinated-Examinations.pdf
RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com...
2018-08-2615 min
The RIA Compliance CollectiveSenior Vulnerability and Financial ExploitationTopic 1 – Stan Lee Case Topic 2 – Regulatory Compliance Guidance Topic 3 – Financial Exploitation Reporting
Financial Services Institute https://financialservices.org/elderabuse/
AARP Foundation ElderWatch
https://www.aarp.org/aarp-foundation/our-work/income/elderwatch/
Consumer Financial Protection Bureau
https://www.consumerfinance.gov/
Internet Crime Complaint Center
https://www.ic3.gov/default.aspx
NASAA Serve Our Seniors
http://serveourseniors.org/
U.S. Administration on Aging
https://www.acl.gov/about-acl/administration-aging
FINRA www.FINRA.org
National Fraud Information Center...
2018-07-3117 min