In today’s conversation, we chatted with Nick Shaheen, Chief Compliance Officer at Financial Services of America. In this episode, You’ll hear more about Nick’s background, his role as a CCO, and his views on the most recent regulations facing the wealth advisory industry.   

Questions we ask Nick in this episode:   

• How his career as a CCO got started  

• His thoughts on how the culmination of new regulations, such as Reg BI and the DOL’s PTE2020-02, will shape our industry going forward   

• In the face of regulations, the role of technology in helping firms and advisors   

• What Nick would do to make the wealth industry better    

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