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    Business

    The RIA Compliance Collective

    We discuss compliance topics that effect RIA firms from a former regulator’s perspective.

    Hosted by: Ivan Barretto

    Advertise
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    • Spotify

    Latest Episodes:
    CyberSecurity Trends Dec 22, 2021
    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 - 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 practical standpoint, what is the most important best practice that people should use?

    Topic IV - What is Predictive Ransomware Protection?

    Topic V - Even the SEC was a target of cyber-criminals, how did the happen?

    Topic VI - Finally, where do you see the future of IT management and cybersecurity as we enter 2022?

    Guest Speaker Information:

    Wes Stillman, CEO

    LinkedIn: https://www.linkedin.com/in/wes-stillman-ba2a75/


    Company Information:

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

    In the News: https://www.rightsize-solutions.com/resources/in-the-news/

    Tech Trends: https://www.rightsize-solutions.com/resources/tech-trends/

    RightSize will be at the 2022 Investment Adviser Compliance Conference

    https://investmentadviser.org/events/compliance-conference/


    Schwab E&O Update Oct 29, 2021
    Show notes

    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 following.

    • E&O
    • Cyber
    • Crime / Crime Bond



    Tales from the Crypto Sep 29, 2021
    Show notes

    Tales 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, or is it just a phase that crypto will go past?

    Outro

    Speaker Bio:

    Erica Stanford is the author of Crypto Wars: Faked Deaths, Missing Billions, and Industry Disruption about the biggest hacks and scams in crypto. She is also the Founder of the crypto community, the Crypto Curry Club, which publishes Blockchain Industry Review. She is a frequent speaker and commentator on both use cases and applications of cryptocurrency as well as on crypto scams. She is an Associate Guest Lecturer at Warwick Business School on crypto use cases. She is part of VC-backed crypto wallet and DEX startup Cent Finance. She also works part-time at CMS law firm advising on crypto and fintech strategy.

    Erica Stanford's Linkedin:

    https://www.linkedin.com/in/ericastanford/

    Crypto Wars: Faked Deaths, Missing Billions and Industry Disruption about the biggest hacks and scams in crypto.

    https://www.amazon.co.uk/Crypto-Wars-Billions-Industry-Disruption/dp/1398600687/?geniuslink=true


    FINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAM Sep 14, 2021
    Show notes

    FINANCIAL 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.


    E & O and Digital Assets Aug 17, 2021
    Show notes

    E&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/


    Client Onboarding in the Digital Age Aug 03, 2021
    Show notes

    Sebastian 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-/


    Fieldcraft - Cyber Security Training Jul 07, 2021
    Show 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.

    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://www.mtradecraft.com/fieldcraft.html

    Here is a Youtube video with a Demo:

    https://youtu.be/jcGhpMeza0I

    If firms are interested, that can request a free demo account here:

    https://www.mtradecraft.com/fieldcraftdemo.html


    How to Create a Podcast Jul 07, 2021
    Show notes

    Podcast 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-spons&psc=1&spLa=ZW5jcnlwdGVkUXVhbGlmaWVyPUExUlpLUVVFVDlMUTRDJmVuY3J5cHRlZElkPUEwMzEzMDEwM1BRN08wU0VUS1lZOCZlbmNyeXB0ZWRBZElkPUEwMjY0NTcxMlVMQlVNTEFFNkZMTCZ3aWRnZXROYW1lPXNwX2F0ZiZhY3Rpb249Y2xpY2tSZWRpcmVjdCZkb05vdExvZ0NsaWNrPXRydWU=


    Fiverr

    www.fiverr.com


    Zencastr

    https://zencastr.com/


    Podcast.co

    https://www.podcast.co/


    Matchmaker

    https://www.matchmaker.fm/home



    Cryptocurrencies: What You Need to Know? Jun 30, 2021
    Show notes

    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


    What the NFT? Jun 23, 2021
    Show notes

    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/


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