Asset Managers: Compliance as Growth Engine

Webinar: May 11, 2023 at 1 pm ET

Asset managers face an increased pace of regulatory change and competitive pressures. In the last two years, the industry has seen reforms focused on the investors’ best interest (CFR, Reg BI) and enhanced investor communications (Marketing Rule). Amidst the waves of regulatory reform, asset managers have a strategic opportunity to remain competitive and keep pace with growing regulations by integrating intelligent technology to streamline processes and minimize regulatory risk.

Join our webinar on May 11 to hear industry experts from AGF, BLG, Red Oak Compliance Solutions, and InvestorCOM discuss:

  • Solutions that asset managers are using today to stay on top of regulatory change and grow their business.
  • The risk imposed by using manual processes and antiquated external/internal technology.
  • How technology can be used to mitigate conflicts of interest risk and improve the competitiveness of mutual funds.

Meet Your Speakers

Joe Zawawi

Joe Zawawi, CFA, Director, Portfolio Consulting and Competitive Intelligence, AGF 

Joe Zawawi is focused on the development and implementation of investment products. In this role, Joe collaborates with Investment Management and Sales and Marketing to support the dynamic product shelf at AGF. He also works with advisors to deliver the resources and support needed to help gain better analytics and insights into portfolios.

Joe has a unique background in the investment industry. Prior to joining AGF, he held roles supporting financial advisors through product and portfolio research.

Joe earned a bachelor’s degree in International Economics and Finance from Ryerson University in Toronto.

Roma Lotay BLG

Roma Lotay, Partner at BLG  

Roma practises corporate and securities law, specializing in the investment management industry.

She advises investment fund manager, dealer and investment adviser clients on the creation, distribution and ongoing administration of various investment products, including retail mutual funds, exchange-traded funds, pooled funds, private equity funds, real estate funds and infrastructure funds. Roma also assists clients with mergers and acquisitions, particularly in the investment management industry. She further advises clients on fundamental changes, policies and procedures, corporate governance and commercial contracts.

Stephen Pope

Stephen Pope, Co-Founder and CEO, Red Oak Compliance Solutions 

Stephen brings a wealth of experience developing mission-critical software applications for the financial services industry. With over 27 years of experience in software sales and development, sales management, marketing, and operations, Stephen’s consultative approach is well-suited to working with firms of all types and sizes.

Stephen served as Director of Application Engineering at NFP Securities where he led a team of developers to create custom software for the broker/dealer and RIA. Stephen was the Managing Director of Operations for Perficient, Inc., a public company with 220 consultants. He is an entrepreneur who has owned several successful start-ups and has vast experience in project management and client relationship-building. He is also well-versed in the latest cutting-edge technology in the financial industry.

Stephen has a Masters of Business Administration degree. He is a member of the National Society of Compliance Professionals; a former member of the Project Management Institute; has both Microsoft and IBM technical certifications, and formerly held a FINRA Series 7.

Parham Nasseri InvestorCOM

Parham Nasseri, Vice President Products & Regulatory Strategy, InvestorCOM

Parham Nasseri has spent his career translating complex regulatory requirements into technology solutions that improve investor and advisor outcomes. He has over 15 years of regulatory and wealth management experience, including senior roles in regulatory analytics, digital transformation, and investment analytics.

Parham currently serves as Vice President, Product & Regulatory Strategy at InvestorCOM, a leading software solutions provider for the financial services industry. He serves on several advisory boards including Ontario Securities Commission’s Investor Advisory Panel, CFA Societies’ Canadian Advocacy Council, The Canadian RegTech Association, and Junior Achievements of Central Ontario. He is also the host of the Wealth Compliance Leaders series.