Wealth Compliance Leaders featuring Randy Barnes from InvestorCOM

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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.

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Wealth Compliance Leaders featuring Randy Barnes from InvestorCOM - Part 2

Wealth Compliance Leaders

9 minutes 57 seconds

2 years ago

Wealth Compliance Leaders featuring Randy Barnes from InvestorCOM - Part 2

In today’s conversation, we're re-joined by Randy Barnes, Director of Sales and Product Engineering at InvestorCOM. Randy is a wealth industry veteran and has dedicated his career to digitizing the advisor’s desktop.

In this episode, we chat with Randy to find out:

* What he has learned in conversations with clients about Regulation Best Interest (Reg BI) and the DOL's PTE 2020-02

* How InvestorCOM's compliance dashboard supports clients in completing their Retrospective Review process

* What would keep Randy up at night if he were doing the job of a Chief Compliance Officer

== For more information ==

InvestorCOM Website: https://investorcom.com/

InvestorCOM Social Media:

Twitter: https://twitter.com/InvestorCOMInc

LinkedIn: https://www.linkedin.com/company/investorcominc