The RIA Compliance Collective

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At a glance - SEC Examination Priorities Aug 13, 2019

Show notes

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 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/uploads/2011/10/2017-IA-Coordinated-Examinations.pdf

NASAA 2019 RIA Section Report https://s30730.pcdn.co/wp-content/uploads/2019/06/2019-IA-Section-Report.pdf

Clearing the Air IV Jul 02, 2019

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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 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

A Deep Dive Into Reg BI Jun 25, 2019

Show notes

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 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

Regulation Best Interest: The Broker-Dealer Standard of Conduct https://loom.ly/ykOUOS0

Archive This! Jun 19, 2019

Show notes

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

Clearing The Air III Jun 03, 2019

Show notes

Intro 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.instagram.com/riacomplianceconcepts/

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-5016a442/

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

Clearing the Air II May 28, 2019

Show notes

Clearing 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

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-5016a442/

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

On The Move - A Mobile Cyber Security Discussion May 21, 2019

Show notes

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 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-stillman-ba2a75/

Company Info:

Company Information: RightSize Solutions Website: http://www.rightsize-solutions.com/ Company LinkedIn: https://www.linkedin.com/company/right-size-solutions/

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-5016a442/

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

Insurance - It's Not Just For Your Clients! May 14, 2019

Show notes

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 Cyber Security Policy? Topic IV - Your Super Power and Why? Topic – Closing Remarks

Guest Speaker Information:

Jessica Thayer, Senior Vice President LinkedIn: https://www.linkedin.com/in/jessica-thayer-198764/

Company Info:

Company Information: Starkweather & Shepley Website: https://loom.ly/oUUZfxk Company LinkedIn: https://loom.ly/1XcQztk Facebook: https://loom.ly/ughjJpk Twitter: https://loom.ly/EfRdmWA

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-5016a442/

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

Engagement in the Social Media Age May 07, 2019

Show notes

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 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: https://www.linkedin.com/company/finservmarketing/ Facebook: https://www.facebook.com/finservMarketing/ Twitter: https://twitter.com/finsrvmarketing?lang=en SoFin & SXSW2019: https://www.linkedin.com/groups/12207304/

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-5016a442/

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

Plan Fiduciary 101 May 01, 2019

Show notes

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, 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 fiduciary duties? Topic IV – Plan considerations to account for when selecting the investment options for the plan Topic V – Current litigation issues Topic VI – Closing Remarks

Guest Speaker Information: Allison Brecher, General Counsel Allison Brecher LinkedIn: https://www.linkedin.com/in/allisonbrecher/

Company Info: Vestwell Website: https://vestwell.com/ Company Linkedin: https://www.linkedin.com/company/vestwell-advisors/ Facebook: https://www.facebook.com/vestwell401k/ Twitter: https://twitter.com/Vestwell United of State Department of Labor Employee Benefits Security Administration Seminars and Webcasts https://www.dol.gov/agencies/ebsa/about-ebsa/our-activities/resource-center/seminars-and-webcasts

401(k) plans https://www.dol.gov/agencies/ebsa/key-topics/retirement/401k-plans

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-5016a442/

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