Avoiding Compliance Headaches The New SEC Rule Changes Will Create For Financial Advisors
- E26
- 52:25
- February 9th 2023
Ivan Barretto, Founder and Managing Director of RIA Compliance Concepts shares how financial advisors and RIA firms should adapt to the new SEC rules on "Outsourcing By Investment Advisors" and "Cybersecurity Risk Management". As a former regulator, Ivan explains what to expect should the SEC or a state regulator decide to audit your financial advisory firm.
Resources Mentioned In This Episode
- How Financial Advisors Are Leveraging Outsourcing And What The SEC Has To Say About It - In this episode of the Augmented Advisor, Laura Gregg from FlexShares ETF shares insights about advisors' use of outsourcing. John... well... he had an epic rant about the new SEC rules for outsourcing.
- The RIA Compliance Collective Podcast - This is Ivan's podcast. Mike has been a guest twice and John will be joining Ivan in a future episode.
- SEC's Proposed Rule for Outsourcing by Investment Advisers
- SEC's Proposed Cyber Security Rules and Amendments for Registered Investment Advisers and Funds
The Augmented Advisor
The Augmented Advisor is about Creators and Communicators in Wealth Management.
The podcast is presented by Blueleaf monthly and hosted by John Prendergast.
The show is about creators in Wealth. We tell their stories and try to learn their lessons. We talk about how independent financial advisors can leverage new media in their business and amplify their impact on clients and in the world.
"If you're not communicating, you don't exist" Gary Vaynerchuk
We want you to shine bright.
You can also see our video episodes on YouTube: https://www.youtube.com/@augmentedadvisor
SEND US A STORY: [email protected]
Our Website: https://www.blueleaf.com/
Meet the Host
John is the co-founder and CEO of Blueleaf and is an active startup advisor. He is also an experienced entrepreneur and senior executive. As part of 6 founding teams, he has led the product management, marketing, and finance functions. His background in banking and wealth management has shaped the vision for Blueleaf.