Filtrar por gênero

The RIA Compliance Collective

Ivan Barretto and Collin O'Bryant

Negócio, Notícias e Política

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

Hosted by: Ivan Barretto

50 - CyberSecurity Trends

0:00 / 0:00

50 - CyberSecurity Trends
Wed, 22 Dec 2021 - 23min
49 - Schwab E&O Update
Fri, 29 Oct 2021 - 16min
48 - Tales from the Crypto
Wed, 29 Sep 2021 - 24min
47 - FINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAM
Tue, 14 Sep 2021 - 21min
46 - E & O and Digital Assets
Tue, 17 Aug 2021 - 18min
45 - Client Onboarding in the Digital Age
Tue, 03 Aug 2021 - 11min
44 - Fieldcraft - Cyber Security Training
Wed, 07 Jul 2021 - 14min
43 - How to Create a Podcast
Wed, 07 Jul 2021 - 07min
42 - Cryptocurrencies: What You Need to Know?
Wed, 30 Jun 2021 - 17min
41 - What the NFT?
Wed, 23 Jun 2021 - 15min
40 - Knowing Your Numbers
Wed, 09 Jun 2021 - 39min
39 - Clearing the Air X
Wed, 09 Sep 2020 - 13min
38 - All things Cyber Security
Wed, 19 Aug 2020 - 26min
37 - Bills, Bills, Bills: A New Way to Help and Protect Your Senior Clients
Wed, 12 Aug 2020 - 18min
36 - Understanding Succession and Valuation
Wed, 05 Aug 2020 - 27min
35 - Leading with Compassion and Clarity During COVID
Wed, 29 Jul 2020 - 24min
34 - It's about time! Modernizing the RIA advertising rules
Mon, 20 Jul 2020 - 30min
33 - Clearing the Air IX
Mon, 29 Jun 2020 - 23min
32 - Clearing the Air VIII
Wed, 03 Jun 2020 - 20min
31 - Protecting Your Firm During the Pandemic Era
Wed, 27 May 2020 - 28min
30 - Coronavirus Scam
Wed, 13 May 2020 - 16min
29 - Clearing the Air VII
Fri, 01 May 2020 - 17min
28 - Clearing The Air VI
Wed, 18 Dec 2019 - 23min
27 - The Ownership Ladder - An Internal Succession Discussion
Wed, 11 Dec 2019 - 24min
26 - Clarifying Custody - Part II
Wed, 04 Dec 2019 - 16min
25 - Clarifying Custody - Part I
Wed, 27 Nov 2019 - 17min
24 - Insurance in the RIA World
Wed, 06 Nov 2019 - 17min
23 - Clearing the Air V
Tue, 01 Oct 2019 - 23min
22 - At A Glance - SEC Examination Priorities Part Deux
Tue, 24 Sep 2019 - 17min
21 - Protect Your Clients - An Identity Theft Protection Discussion
Wed, 21 Aug 2019 - 14min
20 - At a glance - SEC Examination Priorities
Tue, 13 Aug 2019 - 23min
19 - Clearing the Air IV
Tue, 02 Jul 2019 - 12min
18 - A Deep Dive Into Reg BI
Tue, 25 Jun 2019 - 31min
17 - Archive This!
Wed, 19 Jun 2019 - 17min
16 - Clearing The Air III
Mon, 03 Jun 2019 - 22min
15 - Clearing the Air II
Tue, 28 May 2019 - 24min
14 - On The Move - A Mobile Cyber Security Discussion
Tue, 21 May 2019 - 22min
13 - Insurance - It's Not Just For Your Clients!
Tue, 14 May 2019 - 20min
12 - Engagement in the Social Media Age
Tue, 07 May 2019 - 35min
11 - Plan Fiduciary 101
Wed, 01 May 2019 - 21min
10 - Social Media: Friend Not Foe
Tue, 16 Apr 2019 - 24min
9 - The Times Are A Changin' - Insurance Services In The RIA World with Matt Meyer
Mon, 03 Dec 2018 - 21min
8 - Show Your Work - Vendor Management Discussion with John Anderson
Tue, 20 Nov 2018 - 31min
7 - Understanding a UMA platform and How it Can Assist with the Fiduciary Standard with Mark Boothe
Mon, 12 Nov 2018 - 07min
6 - You Don't Know What You Don't Know - BD Registration Discussion with Kim McEnaney
Wed, 31 Oct 2018 - 30min
5 - Cyber Security - Where's my data?
Wed, 03 Oct 2018 - 18min
4 - Business Continuity - Hope the best, plan for the worst!
Mon, 17 Sep 2018 - 17min
3 - Clearing the Air - OBAs, Fees and Custody
Sat, 08 Sep 2018 - 20min
2 - You Get an Audit and You Get an Audit! Everybody Gets an Audit!
Sun, 26 Aug 2018 - 15min
1 - Senior Vulnerability and Financial Exploitation
Tue, 31 Jul 2018 - 17min

Mostrar mais episódios

Filtrar por gênero

The RIA Compliance Collective

Podcasts semelhantes a The RIA Compliance Collective