Recent enforcement actions suggest wealth firms are facing mounting pressure to balance regulatory compliance with exceptional client service. Financial professionals must also go further than ever to prioritize clients’ best interests. Five years into the best interest journey, many have adopted policies, but exam priorities indicate an implementation challenge – With the what and why of Reg BI established, the next challenge is figuring out the how.

With solutions for digital oversight, seamless record-keeping, and real-time regulatory updates, firms can simplify compliance, mitigate risks, and focus on what matters most: serving their clients.

Jennifer Selliers, Director, Senior Consultant, Renaissance Regulatory Services, Inc

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.

Bryce Carter, Head of Solutions (Product), F2 Strategy

Bryce Carter connects deeply with each of his clients to help them solve problems along their unique journey. With enthusiasm, thoughtfulness and a product mindset, he brings value to clients by understanding their many complexities and building a team of experts who drive innovation forward. Previously, after taking on various banking roles, Bryce moved to Wells Fargo Wealth Management where he spent seven years implementing investment models for clients in managed accounts. There he learned the many complexities of large-scale trading, the connections of disparate systems, and the importance of data. From there he spent seven years as a senior strategic leader focused on the implementation of multi-year initiatives at Wells Fargo.

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.