Tag Archives: #Compliance

Episode 101 – Turning Compliance from a Barrier to an Asset – With Mac Bartine

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , ,

Mac Bartine is the CEO of SmartRIA, which is a powerful, easy-to-use cloud-based software solution designed to meet the specialized needs of compliance consultants, investment advisors, and CCOs.

Doug and Mac talked about the SmartRIA platform and how advisors can take advantage of it to turn compliance to an asset. 

They also discussed:

  • What drove the idea for SmartRIA and why Mac wanted to pursue compliance solutions
  • The benefit of using SmartRIA and what it does for advisory firms
  • How advisors are starting to view compliance as an asset and not a barrier
  • What technology SmartRIA integrates with and getting approval on social media
  • The advantages of reporting client annual reviews and trading it on compliance software
  • Mac’s advice for those in the industry on navigating the accelerating rate of change

Resources: SmartRIA

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Episode 57 – Benefits of Working with an Organization That Has Strong In-House Compliance – With Mike Alsoraimi

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Mike Alsoraimi is the Co-Chief Compliance Officer for Kingswood Group U.S., An SEC-registered RIA and a FINRA-licensed broker/dealer that offers comprehensive wealth management and business-building services designed specifically for the independent financial advisor

In today’s episode, Doug and Mike talk about the complexity of managing compliance across Kingswood’s two Broker-Dealers and two RIAs. They also discuss

  • The current state of compliance in the financial services industry
  • Whether it’s getting tougher or easier to “get things through compliance” 
  • Why it is important to automate the compliance process
  • Reg BI – who it affects, and who it helps
  • What regulators are looking for
  • What regulators mean by “active effort”
  • How advisors can communicate with their clients about regulation and how it exists to protect the investor

Resources: Kingswood U.S.

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