Wealth Compliance Leaders featuring Jim Allen, Founder of Delahaye Advisers

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Wealth Compliance Leaders

InvestorCOM Inc.

26 episodes

3 days ago

Wealth Compliance Leaders features exceptional leaders from the wealth management industry. In this series, we speak with senior industry, regulatory, and technology executives to discuss wealth management and compliance challenges. This series is hosted by InvestorCOM, a provider of regulatory software solutions for wealth managers, asset managers and insurers. For more information, visit www.investorcom.com or contact us at hello@investorcom.com

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Wealth Compliance Leaders featuring Jim Allen, Founder of Delahaye Advisers

Wealth Compliance Leaders

13 minutes 16 seconds

3 years ago

Wealth Compliance Leaders featuring Jim Allen, Founder of Delahaye Advisers

In today’s conversation, we spoke with Jim Allen, Founder of Delahaye Advisers, a Virginia-based financial consulting enterprise about current and emerging regulations including Reg BI and the DOL’s recent rules on rollovers.

Jim was recently Head of Capital Markets Policy for the Americas at CFA Institute and held roles in journalism, investment banking, and corporate finance.