{"id":7124,"date":"2025-01-20T16:55:59","date_gmt":"2025-01-20T16:55:59","guid":{"rendered":"https:\/\/www.blueleaf.com\/blog\/avoiding-compliance-headaches-the-new-sec-rule-changes-will-create-for-financial-advisors\/"},"modified":"2025-01-20T16:55:59","modified_gmt":"2025-01-20T16:55:59","slug":"avoiding-compliance-headaches-the-new-sec-rule-changes-will-create-for-financial-advisors","status":"publish","type":"post","link":"https:\/\/www.blueleaf.com\/blog\/avoiding-compliance-headaches-the-new-sec-rule-changes-will-create-for-financial-advisors\/","title":{"rendered":"Avoiding Compliance Headaches The New SEC Rule Changes Will Create For Financial Advisors"},"content":{"rendered":"\n<hr class=\"wp-block-separator has-alpha-channel-opacity\"\/>\n\n\n\n<div class=\"podcastdotco-wrapper\"><iframe data-target=\"the-augmented-advisor\/avoiding-compliance-headaches-the-new-sec-rule-changes-will-create-for-financial-advisors\" src=\"https:\/\/play.pod.co\/the-augmented-advisor\/avoiding-compliance-headaches-the-new-sec-rule-changes-will-create-for-financial-advisors\" frameborder=\"0\" width=\"100%\" scrolling=\"no\" style=\"overflow:hidden;max-width:750px;height:160px;\"class=\"podcastdotco-player podcastdotco-player--episode\"><\/iframe><script src=\"https:\/\/play.pod.co\/embed\/frame-v1.js\"><\/script><\/div>\n\n\n\n<hr class=\"wp-block-separator has-alpha-channel-opacity\"\/>\n\n\n\n<iframe width=\"560\" height=\"315\" src=\"https:\/\/www.youtube.com\/embed\/xyC1wbNX4Lw?enablejsapi=1\" title=\"YouTube video player\" frameborder=\"0\" allow=\"accelerometer; autoplay; clipboard-write; encrypted-media; gyroscope; picture-in-picture; web-share\" allowfullscreen><\/iframe>\n\n\n\n<hr class=\"wp-block-separator has-alpha-channel-opacity\"\/>\n\n\n\n<h2 class=\"wp-block-heading\">In This Episode<\/h2>\n\n\n\n<p><a href=\"https:\/\/www.linkedin.com\/in\/ivanbarretto30\/\" rel=\"noreferrer noopener\" target=\"_blank\">Ivan Barretto<\/a>, Founder and Managing Director of <a href=\"https:\/\/www.riacc.io\/\" rel=\"noreferrer noopener\" target=\"_blank\">RIA Compliance Concepts<\/a> shares how financial advisors and RIA firms should adapt to the new SEC rules on &#8220;<em>Outsourcing By Investment Advisors<\/em>&#8221; and &#8220;<em>Cybersecurity Risk Management<\/em>&#8220;. As a former regulator, Ivan explains what to expect should the SEC or a state regulator decide to audit your financial advisory firm.<\/p>\n\n\n\n<p><strong>Resources Mentioned In This Episode<\/strong><\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/blog.blueleaf.com\/how-financial-advisors-are-leveraging-outsourcing-and-what-the-sec-has-to-say-about-it\/\" rel=\"noreferrer noopener\" target=\"_blank\">How Financial Advisors Are Leveraging Outsourcing And What The SEC Has To Say About It<\/a> &#8211; In this episode of the Augmented Advisor, Laura Gregg from FlexShares ETF shares insights about advisors&#8217; use of outsourcing. John&#8230; well&#8230; he had an epic rant about the new SEC rules for outsourcing.<\/li>\n\n\n\n<li><a href=\"https:\/\/www.riacc.io\/the-ria-compliance-collective\" rel=\"noreferrer noopener\" target=\"_blank\">The RIA Compliance Collective Podcast<\/a> &#8211; This is Ivan&#8217;s podcast. Mike has been a guest twice and John will be joining Ivan in a future episode.<\/li>\n\n\n\n<li><a href=\"https:\/\/studio.podcast.co\/finservmarketing-podcast-network\/the-augmented-advisor\/episode\/avoiding-compliance-headaches-the-new-sec-rule-changes-will-create-for-financial-advisors\/Outsourcing%20by%20Investment%20Advisers\" rel=\"noreferrer noopener\" target=\"_blank\">SEC&#8217;s Proposed Rule for Outsourcing by Investment Advisers<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2022-20\" rel=\"noreferrer noopener\" target=\"_blank\">SEC&#8217;s Proposed Cyber Security Rules and Amendments for Registered Investment Advisers and Funds<\/a><\/li>\n<\/ul>\n\n\n\n<h2 class=\"wp-block-heading\">Our Guest<\/h2>\n\n\n\n<p><\/p>\n\n\n\n<hr class=\"wp-block-separator has-alpha-channel-opacity\"\/>\n\n\n\n<div class=\"podcastdotco-wrapper\" style=\"overflow:hidden;padding-top:50px;position:relative;\"><iframe src=\"https:\/\/embed.pod.co\/subscribe-button\/the-augmented-advisor\" frameborder=\"0\" scrolling=\"no\" style=\"border:0;height:100%;left:0;position:absolute;top:0;width:100%;\" class=\"podcastdotco-subscribe\"><\/iframe><\/div>\n","protected":false},"excerpt":{"rendered":"<p>In This Episode 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 &#8220;Outsourcing By Investment Advisors&#8221; and &#8220;Cybersecurity Risk Management&#8220;. As a former regulator, Ivan explains what to expect should the SEC or a state regulator decide to audit&#8230;<\/p>\n","protected":false},"author":2,"featured_media":7125,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"content-type":"","om_disable_all_campaigns":false,"_monsterinsights_skip_tracking":false,"_monsterinsights_sitenote_active":false,"_monsterinsights_sitenote_note":"","_monsterinsights_sitenote_category":0,"_uf_show_specific_survey":0,"_uf_disable_surveys":false,"footnotes":""},"categories":[91],"tags":[61,51],"class_list":["post-7124","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-podcast","tag-advisor-tips","tag-financial-advisor"],"aioseo_notices":[],"_links":{"self":[{"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/posts\/7124","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/comments?post=7124"}],"version-history":[{"count":0,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/posts\/7124\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/media\/7125"}],"wp:attachment":[{"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/media?parent=7124"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/categories?post=7124"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/tags?post=7124"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}