A compliance focused interview with Cathy Vasilev on how financial advisors can better manage the changing compliance landscape. Cathy Vasilev is a founder and VP of Red Oak Compliance. She’s been working with RIAs and BDs for over 25 years and has considerable experience helping firms stay compliant.
In This Interview We Discuss…
0:37 – What is the biggest compliance issue facing RIAs and BDs at the moment?
02:12 – What are the main compliance requirements of setting up your own robo-advisor?
05:28 – Impact of DOL fiduciary rule on RIAs
08:00 – The first thing RIAs should do to get a handle on the fiduciary rule
11:10 – Common compliance mistakes
13:15 – Is compliance enforcement going up or down?
14:25 – How to use compliance to grow your business
16:05 – What advice would Cathy Vasilev give to his 30 year old self?
Learn more about Cathy Vasilev