Podcasts by The RIA Compliance Collective

CyberSecurity Trends from 2021-12-22T12:06:33

Wes Stillman Bio:

Wes Stillman is the Chief Executive Officer of RightSize Solutions. After 30+ years of managing technology in high-level positions, W...

Schwab E&O Update from 2021-10-29T16:10:57

 Schwab E&O Update

Show Notes

Topic I: Schwab E&O Update

Topic II: Crypto ETF

Guest Speaker Info:

Tales from the Crypto from 2021-09-29T20:12:53

Tales from the Crypto

Introduction

Topic 1 - Why are there so many crypto scams

Topic 2 - What are the main types of crypto scams

FINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAM from 2021-09-14T09:00:06

FINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAM

Podcast Show Notes

I. Intro

II. How do you define brand?

III. Four Step...

E & O and Digital Assets from 2021-08-17T12:52:11

E&O Digital Assets

Intro

Topic 1 - E & O trends

Topic 2 - Digital Assets E & O

Guest Speaker Info:

Client Onboarding in the Digital Age from 2021-08-03T15:20:25

Sebastian Skwarek is the Co-Founder of PreciseFP

Company Website: https://precisefp.com/

7 day Free ...

Fieldcraft - Cyber Security Training from 2021-07-07T19:17:14

Brian Hahn Founder

MTradecraft

Linkedin: https://www.linkedin.com/in/jbrianhahn/ Listen

How to Create a Podcast from 2021-07-07T16:13:38

Podcast outline

I.                    Intro

II.                  Equipment Needed

III.                Fiverr (Podcast name, Editing, Artw...

Cryptocurrencies: What You Need to Know? from 2021-06-30T09:00:18

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, ...

What the NFT? from 2021-06-23T09:01:21

What the NFT?

Intro

Topic - What is an NFT?

Topic - Compliance and NFT

Topic - NFT and Charity

Outro

Knowing Your Numbers from 2021-06-09T09:00:15

Topic 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 ...

Clearing the Air X from 2020-09-09T12:00:18

Intro

Topic I: Changes in DOL 

Topic 2: 5 Part Test

Topic 3: Proposed exemptions

Outro

Department of Labo...

All things Cyber Security from 2020-08-19T12:00:09

Show Notes

Brian Hahn

Founder

MTradecraft

Linkedin: htt...

Bills, Bills, Bills: A New Way to Help and Protect Your Senior Clients from 2020-08-12T16:08:44

Marci 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...

Understanding Succession and Valuation from 2020-08-05T11:00:18

Intro

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?

Leading with Compassion and Clarity During COVID from 2020-07-29T11:00:12

Intro

Leading with Compassion and Clarity During COVID by Dr. Josh Williams

RIACC Q&A and Discussion

Dr. Josh Williams is a Partn...

It's about time! Modernizing the RIA advertising rules from 2020-07-20T21:29:32

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 servi...

Clearing the Air IX from 2020-06-29T12:00

Clearing the Air IX

Intro

Topic I – Remote Regulatory Examinations

Topic II – Wrap Fee Program Update

Topic III – Financi...

Clearing the Air VIII from 2020-06-03T16:45

Topic 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 Exam...

Protecting Your Firm During the Pandemic Era from 2020-05-27T16:45

RIA Compliance Concepts

Toll Free: 1-833-RIACCIO

Email: info@riacc.io Website: www.riacc.io LinkedIn: Listen

Coronavirus Scam from 2020-05-13T16:45

Guest Speaker Info: Dana Mantilia, Founder Identity Protection Planning Email: dmantilia@identityprotectionplanning.com

Identity Protection Planning Website: Listen

Clearing the Air VII from 2020-05-01T14:15

Clearing 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

NAS...

Clearing The Air VI from 2019-12-18T18:00

Introduction Topic I - Form CRS Update Topic II - CD Spoofiing Websites Topic III - Protecting Senior Investors Topic IV - Calculating Regulatory AUM Outro

Form CRS Inst...

The Ownership Ladder - An Internal Succession Discussion from 2019-12-11T18:00

Introduction 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 I...

Clarifying Custody - Part II from 2019-12-04T18:00

Intro 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 ...

Clarifying Custody - Part I from 2019-11-27T18:00

Intro 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:...

Insurance in the RIA World from 2019-11-06T18:00

Topic 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

Clearing the Air V from 2019-10-01T17:00

Intro Topic I – Recent News Topic II – Form CRS update Topic III – Compliant Process Topic IV – Proxy Voting Topic V – Outro

Other Links: XY Planning Netw...

At A Glance - SEC Examination Priorities Part Deux from 2019-09-24T17:00

**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: Port...

Protect Your Clients - An Identity Theft Protection Discussion from 2019-08-21T17:00

An Identity Theft Protection Discussion with Dana Mantilla, Founder of Identity Protection Planning - Identron

Intro Topic I - Is identity theft a really a big deal? Top...

At a glance - SEC Examination Priorities from 2019-08-13T17:00

Intro 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 To...

Clearing the Air IV from 2019-07-02T14:46:01

Intro 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 Ou...

A Deep Dive Into Reg BI from 2019-06-25T17:35:15

Intro 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 S...

Archive This! from 2019-06-19T15:00

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 Top...

Clearing The Air III from 2019-06-03T15:58:18

Intro Topic I - Continuing Education for IARs? Topic II - Robo Adviser FAQs Topic III - Correspondence vs. Advertising Clarification

NASAA - Survey Regarding Continuing ...

Clearing the Air II from 2019-05-28T14:13

Clearing the Air II

Intro Topic 1 - Solicitors Topic 2 - Net Cap Requirements Topic 3 - Custody, More Custody

SEC Risk Alert - Solicitation Listen

On The Move - A Mobile Cyber Security Discussion from 2019-05-21T15:00

Show 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 beg...

Insurance - It's Not Just For Your Clients! from 2019-05-14T15:00

Show Notes: Jessica Thayer Bio:

Jessica Thayer is the Senior Vice President and Practice Leader of Starkweather Financial Institutions Risk Solutions, an industry specif...

Engagement in the Social Media Age from 2019-05-07T15:05

Show Notes: Mike Langford Bio:

Mike Langford is the founder and CEO of finservMarketing, a consulting firm that specializes in providing best in class marketing strategi...

Plan Fiduciary 101 from 2019-05-01T14:00

Allison 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, emplo...

Social Media: Friend Not Foe from 2019-04-16T15:53

Thibaud 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 program...

The Times Are A Changin' - Insurance Services In The RIA World with Matt Meyer from 2018-12-03T22:47

Matt 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 co...

Show Your Work - Vendor Management Discussion with John Anderson from 2018-11-20T14:21

Guest 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...

Understanding a UMA platform and How it Can Assist with the Fiduciary Standard with Mark Boothe from 2018-11-12T23:07

Understanding a UMA platform and How it Can Assist with the Fiduciary Standard

Topic I – Introduction Topic II - Model vs. Customized of Portfolios Topic III - Aggregati...

You Don't Know What You Don't Know - BD Registration Discussion with Kim McEnaney from 2018-10-31T03:16

You 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 durin...

Cyber Security - Where's my data? from 2018-10-03T16:00

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 Architectur...

Business Continuity - Hope the best, plan for the worst! from 2018-09-17T02:19:23

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 s...

Clearing the Air - OBAs, Fees and Custody from 2018-09-08T02:43:46

Clearing the Air - OBAs, Fees, and Custody

Topic 1 - OBAs

Topic 2 - Fees

Topic 3 - Custody

RIA Compliance Concepts Toll F...

You Get an Audit and You Get an Audit! Everybody Gets an Audit! from 2018-08-26T03:08:12

You Get an Audit and You Get an Audit! Everybody Gets an Audit! Topic: Audit tips and tricks

Resources:

SEC 2018 National Examination Priorities Listen

Senior Vulnerability and Financial Exploitation from 2018-07-31T19:57

Topic 1 – Stan Lee Case Topic 2 – Regulatory Compliance Guidance Topic 3 – Financial Exploitation Reporting

Financial Services Institute Listen