How RIAs Should Prepare For The DOL Fiduciary Rule – Interview with Cathy Vasilev #FearlessFinancialAdvisorPodcast

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?

Resources

Pocket Risk Cathy VasilevLearn more about Cathy Vasilev

Interview MP3