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Wealth Compliance Leaders
InvestorCOM Inc.
26 episodes
2 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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All content for Wealth Compliance Leaders is the property of InvestorCOM Inc. and is served directly from their servers with no modification, redirects, or rehosting. The podcast is not affiliated with or endorsed by Podjoint in any way.
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
Show more...
Technology
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Wealth Compliance Leaders featuring Nancy Mehrad, CEO and Co-Founder at Registrant Law
Wealth Compliance Leaders
13 minutes 45 seconds
2 years ago
Wealth Compliance Leaders featuring Nancy Mehrad, CEO and Co-Founder at Registrant Law

In today’s conversation, we met with Nancy Mehrad, CEO & Securities Lawyer of Registrant Law to review the CSA & CIRO’s examination findings regarding Conflicts of Interest as it relates to the Client Focused Reforms.


Nancy provides best practices and controls firms can implement to improve their compliance and what firms with proprietary products need to focus on. She also discusses what's next from regulators on the CFR file.

== For more information == InvestorCOM Website: https://investorcom.com/ InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc LinkedIn: https://www.linkedin.com/company/investorcominc

Wealth Compliance Leaders
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