Jason Streicher on Compliance and Registration in Wealth Management

Episode 19,   Oct 10, 09:15 AM

In Episode 19 of Beyond the Bank, Andrew Auerbach is joined by Jason Streicher, Senior Legal Counsel at AUM Law, to discuss the intricacies of compliance and registration in wealth management. Drawing on over 25 years of experience, Jason delves into the evolving regulatory landscape, emphasizing the critical role of chief compliance officers and the importance of meeting both traditional and modern standards for registration. They explore key challenges in establishing independent firms, including how to qualify as an advising representative and chief compliance officer, and how regulatory scrutiny has shifted in the post-2008 financial crisis era. Jason offers practical advice for firms looking to register and maintain strong compliance systems, underscoring the need for collaboration and transparency with regulators to ensure success.

 In Episode 19 of Beyond the Bank, Andrew Auerbach is joined by Jason Streicher, Senior Legal Counsel at AUM Law, to discuss the intricacies of compliance and registration in wealth management. Drawing on over 25 years of experience, Jason delves into the evolving regulatory landscape, emphasizing the critical role of chief compliance officers and the importance of meeting both traditional and modern standards for registration. They explore key challenges in establishing independent firms, including how to qualify as an advising representative and chief compliance officer, and how regulatory scrutiny has shifted in the post-2008 financial crisis era. Jason offers practical advice for firms looking to register and maintain strong compliance systems, underscoring the need for collaboration and transparency with regulators to ensure success. 
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