On-Demand Webinar

With increasing regulatory scrutiny, wealth advisory firms are being challenged to ensure compliance with best interest standards. As part of this shift, transitioning from manual based to fully digitized compliance practices has become essential, driving efficiency, transparency, and better outcomes in regulatory exams. 

Join us on October 17, at 1PM ET, to explore how leading wealth firms across North America are embracing digital compliance. Our expert panel will share insights on how purpose built applications are transforming compliance practices and creating a “flywheel effect” that continues to enhance firms’ ability to scale while staying compliant. 

Key Takeaways: 

• From PDFs to Digital Compliance: Learn how the shift from traditional methods to digital solutions is shaping modern compliance. 
• Preparing for Regulatory Exams: Gain strategies for using digital tools to align with best interest principles and pass exams. 
• Ongoing Benefits of Digitization: Discover how digitized processes create long-term efficiencies and reduce risk.  

This webinar is ideal for compliance officers, legal and risk professionals, wealth advisory firms, and operations managers looking to modernize compliance practices. 

George Sarlanis, Head of Supervision, Snowden Lane Partners

George Sarlanis is the Head of Supervision at Snowden Lane Partners, where he oversees regulatory compliance and risk management across the firm’s advisory operations. With extensive experience in financial oversight, George ensures that advisors and clients benefit from a secure and compliant environment. Known for his expertise in navigating complex regulatory landscapes, he plays a pivotal role in maintaining the firm’s high standards of ethical conduct. His leadership helps advisors focus on delivering exceptional client service while adhering to industry regulations, enhancing Snowden Lane Partners’ reputation in wealth management.

Mitchell Atkins, Founder and Principal, FirstMark Regulatory Solutions

Mitchell Atkins has over 30 years’ experience in the securities industry. Of this, he spent 20 years at FINRA (formerly NASD).  He started his career in the industry at NASD (now known as FINRA) as an examiner trainee and worked in every role in the FINRA Member Regulation district office structure. After serving in various examiner and examination manager roles, he was appointed Associate Director in charge of the Long Island Office.  In 2005, he was tasked with the startup and staffing of the Florida District Office in Boca Raton, becoming District Director. Later, he was appointed as Regional Director for FINRA’s South Region which included oversight of the Florida, Atlanta, Dallas and New Orleans district offices, overseeing the examination programs covering approximately 850 broker-dealers. Soon thereafter, he was promoted to Senior Vice President and Regional Director. In this role he served as a member of FINRA Member Regulation’s Senior Management Team.  In 2013, he left a rewarding career at FINRA and founded FirstMark Regulatory Solutions.

Mitchell Atkins has over 30 years’ experience in the securities industry. Of this, he spent 20 years at FINRA (formerly NASD).  He started his career in the industry at NASD (now known as FINRA) as an examiner trainee and worked in every role in the FINRA Member Regulation district office structure. After serving in various examiner and examination manager roles, he was appointed Associate Director in charge of the Long Island Office.  In 2005, he was tasked with the startup and staffing of the Florida District Office in Boca Raton, becoming District Director. Later, he was appointed as Regional Director for FINRA’s South Region which included oversight of the Florida, Atlanta, Dallas and New Orleans district offices, overseeing the examination programs covering approximately 850 broker-dealers. Soon thereafter, he was promoted to Senior Vice President and Regional Director. In this role he served as a member of FINRA Member Regulation’s Senior Management Team.  In 2013, he left a rewarding career at FINRA and founded FirstMark Regulatory Solutions.

Ed Wegener, Managing Director, Oyster Consulting LLC

Ed Wegener is an innovative compliance, risk management and supervisory controls expert with deep understanding of Federal Securities Laws and the rules of self-regulatory organizations, as well as technology optimization and risk mitigation. Prior to joining Oyster, Ed held several posts in FINRA, most recently as  Senior VP and Midwest Regional Director.  While there, he was responsible for the Region’s risk assessment, examination and investigation programs. Ed was a member of the team that developed FINRA’s risk-based examination program and he developed and managed FINRA’s first Digital Asset and Cybersecurity examination programs.

Randy Barnes, Director of Product & Sales Engineering, InvestorCOM

Parham Nasseri, President, 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.