Episode37: Chris Winn on Regulatory Priorities

“Well, each year the SEC shares their regulatory priorities. In recent years, they've tried to make it not be a mystery of what they view as important. And we're waiting, for details for this year, but the core things that have been focused on include anywhere where there's a conflict of interest between the firm and the client, cybersecurity, and as you can imagine for 2020, business continuity . . . “

Yes, Virginia, there is a way to make compliance less onerous . . . Expert Chris Winn from Advisor Assist joins the show in this enlightening episode covering a wide range of compliance related topics, from audits, to SEC priorities to the new “Testimonial Update”. Don’t miss a minute of this vital information.

Chris founded AdvisorAssist in 2006 and has over 23 years of investment management industry experience with a focus on regulatory compliance, business transitions and operations and technology matters. Prior to founding AdvisorAssist, Chris was a co-founder and managing principal of MainStay Consulting Group, a strategy and compliance consulting firm serving investment advisors. He sold MainStay in 2009.

Before founding MainStay, Chris was the chief operating officer and chief compliance officer for Open Investing, a division of Navigant. There he led regulatory compliance teams and assessing the effectiveness of the design and implementation of compliance programs. Chris started his career focusing on operational and regulatory challenges for investment advisors, investment companies, and their service providers.