Avoiding Compliance Headaches The New SEC Rule Changes Will Create For Financial Advisors
Update: 2023-02-09
Description
Ivan Barretto, Founder and Managing Director of RIA Compliance Concepts shares how financial advisors and RIA firms should adapt to the new SEC rules on "Outsourcing By Investment Advisors" and "Cybersecurity Risk Management". As a former regulator, Ivan explains what to expect should the SEC or a state regulator decide to audit your financial advisory firm.
Resources Mentioned In This Episode
- How Financial Advisors Are Leveraging Outsourcing And What The SEC Has To Say About It - In this episode of the Augmented Advisor, Laura Gregg from FlexShares ETF shares insights about advisors' use of outsourcing. John... well... he had an epic rant about the new SEC rules for outsourcing.
- The RIA Compliance Collective Podcast - This is Ivan's podcast. Mike has been a guest twice and John will be joining Ivan in a future episode.
- SEC's Proposed Rule for Outsourcing by Investment Advisers
- SEC's Proposed Cyber Security Rules and Amendments for Registered Investment Advisers and Funds
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