The RIA Compliance Collective

Latest Episodes:

Social Media: Friend Not Foe Apr 16, 2019

Show notes

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 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/loomly/ Facebook: https://www.facebook.com/Loomly Twitter: https://twitter.com/LoomlySocial Instagram: https://www.instagram.com/loomlysocial/ Pinterest: https://www.pinterest.com/LoomlySocial/ Tumblr: http://loomlysocial.tumblr.com/

The Times Are A Changin' - Insurance Services In The RIA World with Matt Meyer Dec 03, 2018

Show notes

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 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 their employee benefit programs, He’s also assisted high net worth families in the estate planning process, and provides overall guidance to advisors, CPAs, and estate planning attorneys. Matt works with advisors and clients to structure and model transactions, general financial strategies, as well as to examine the short and long-term products utilized for risk mitigation.

Topic I – Introduction Topic II – How the comprehensive client experience addresses fiduciary responsibility for an advisor? Topic III – Integration of insurance and risk management into the advisor’s planning process Topic IV – Creation of insurance solutions for the RIA community Topic V – Closing Comments

Guest Speaker Information: Matt Meyer, Co-Founder Email: MMeyer@tblueprint.com Matt Meyer LinkedIn: https://www.linkedin.com/in/mmeyerinsurance/ Phone: 424-387-4143

Company Info: The Blue Print Insurance Services Website: www.tblueprint.com Company Linkedin: https://www.linkedin.com/company/the-blueprint-insurance-services/ Twitter: https://twitter.com/insuranceria?lang=en

Show Your Work - Vendor Management Discussion with John Anderson Nov 20, 2018

Show notes

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 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 Chose the Right Vendor for Your Firm Topic 4: Choosing a TAMP – Product, Capabilities, & Cost Topic 5: Practice Management Tips

Resources: Sign up for SEI’s free Independent Financial Advisors: An Evaluation Tool https://seic.com/knowledge-center/outsourcing-independent-financial-advisors-evaluation-tool?cmpid=ADV-LG-PODCAST-OUTSOURCING

SEI https://seic.com/

SEI Practically Speaking https://seicblogs.com/advisor-practice-management/ LinkedIn: https://www.linkedin.com/company/sei/ Facebook: https://www.facebook.com/SEICorporateHeadquarters/

Understanding a UMA platform and How it Can Assist with the Fiduciary Standard with Mark Boothe Nov 12, 2018

Show notes

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 - 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.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-5016a442/

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

You Don't Know What You Don't Know - BD Registration Discussion with Kim McEnaney Oct 31, 2018

Show notes

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 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

Cyber Security - Where's my data? Oct 03, 2018

Show notes

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: Important Terms Topic 3: Security Issues with SaaS Topic 4: Soutions

Resources:

Cloud Security Alliance https://cloudsecurityalliance.org/

CSO by IDG https://www.csoonline.com/

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/

Business Continuity - Hope the best, plan for the worst! Sep 17, 2018

Show notes

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. Food Bank of North Carolina The food bank’s website to donate funds. https://secure2.convio.net/fbnc/site/Donation2;jsessionid=00000000.app274b?df_id=11202&mfc_pref=T&11202.donation=form1&s_src=lpage&s_subsrc=fbcenc&NONCE_TOKEN=7D840A92EEB326AF3BF73952BDB70D44 To donate food, visit a distribution centers in Durham, Raleigh, New Bern, Greenville, the Sandhills/Southern Pines or Wilmington. http://www.foodbankcenc.org/site/TR?px=1395030&fr_id=1122&pg=personal The Salvation Army To give, visit give.helpsalvationarmy.org/give/166081/#!/donation/checkout or mail a check to The Salvation Army-Disaster Relief, P.O. Box 1959, Atlanta, GA 30301. Include the name of the disaster relief effort on the check. To donate by phone, call 1-800-725-2769.

Host Info. 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 - OBAs, Fees and Custody Sep 08, 2018

Show notes

Clearing the Air - OBAs, Fees, and Custody

Topic 1 - OBAs

Topic 2 - Fees

Topic 3 - Custody

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/

You Get an Audit and You Get an Audit! Everybody Gets an Audit! Aug 26, 2018

Show notes

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

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/

Senior Vulnerability and Financial Exploitation Jul 31, 2018

Show notes

Topic 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 fraud.org Toll Free: 800-876-7060

Call the Abuse Hotline, 24 hours a day, 7 days a week, toll-free 1-800-252-5400 from anywhere in the US to report abuse or neglect that occurred in Texas.

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/

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