Clearing the Air V - a podcast by Ivan Barretto, Megan Campbell, and Collin OBryant

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 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: 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/

Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/

Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/

Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/

Further episodes of The RIA Compliance Collective

Further podcasts by Ivan Barretto, Megan Campbell, and Collin O'Bryant

Website of Ivan Barretto, Megan Campbell, and Collin O'Bryant