Wealth Compliance Leaders

Por: InvestorCOM Inc.
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 [email protected]
26 episodios disponibles

Latest episodes of the podcast Wealth Compliance Leaders

Wealth Compliance Leaders featuring Nancy Mehrad, CEO and Co-Founder at Registrant Law 11/09/2023
Wealth Compliance Leaders featuring Ryan George, CMO at Docupace 23/08/2023
Wealth Compliance Leaders featuring Gary Davis Jr, Operations & Compliance Executive 16/08/2023
Wealth Compliance Leaders featuring Ryan Smith, Partner at Practus, LLP 18/07/2023
Wealth Compliance Leaders featuring Craig Iskowitz, Founder and CEO of Ezra Group LLC 06/06/2023
Wealth Compliance Leaders featuring Naresh Tejpal, Managing Director, Capital Markets at the IIAC 16/05/2023
Wealth Compliance Leaders featuring Jim Sommerfield, Sr. Compliance Officer at Wintrust Wealth Management 10/05/2023
Wealth Compliance Leaders featuring Iqan Hainsworth-Fadaei, Attorney at Michael Best and Friedrich LLP 10/03/2023
Wealth Compliance Leaders featuring Randy Barnes from InvestorCOM - Part 2 15/02/2023
Wealth Compliance Leaders featuring Andrea McGrew, Senior Counsel at Warner Norcross + Judd 20/01/2023
Wealth Compliance Leaders featuring Craig Watanabe, Director of IA Compliance at DFPG Investments LLC 10/01/2023
Wealth Compliance Leaders featuring Marc Goffaux, Chief Compliance Officer at Hawkeye Wealth Ltd 06/09/2022
Wealth Compliance Leaders featuring Nick Shaheen, CCO at Financial Services of America 12/08/2022
Wealth Compliance Leaders featuring Jason Pereira from Woodgate Financial 11/08/2022
Wealth Compliance Leaders featuring Mike Lubansky from RIA in a Box 25/07/2022
Wealth Compliance Leaders featuring Randy Barnes from InvestorCOM 12/07/2022
Wealth Compliance Leaders featuring Victoria Bello, Product Manager at RIA in a Box 05/07/2022
Implementing KYP Requirements at BMO Investments - Client Focused Reforms Case Study - Justitia Pak 16/02/2022
Wealth Compliance Leaders featuring Bo Howell, Cofounder and CEO of Joot 25/01/2022
Wealth Compliance Leaders featuring Jim Allen, Founder of Delahaye Advisers 24/12/2021
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