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EP #1: Meet the Host
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Ever wondered how financial firms navigate the labyrinth of regulatory compliance? Join us as Kevin Rowe, the founder and CEO of Compliance Network, unveils the secrets behind keeping registered investment advisors and FINRA member broker-dealers on the right side of SEC and FINRA regulations. Discover the bespoke strategies his boutique firm employs to tailor compliance programs that meet the unique needs of each client, from small entities with a handful of representatives to foreign affiliates entering the U.S. market.
In this premiere episode, co-host Jeremy Wolf sits down with Kevin to discuss the mission and passion driving Compliance Network. Kevin shares insights into the firm's anti-money laundering initiatives, which have gained importance in the post-9/11 regulatory landscape. Tune in to understand the typical client profiles they serve and how their personalized approach helps financial firms not only comply but thrive amid regulatory complexities. Whether you're part of the financial industry or just intrigued by the regulatory world, this episode promises valuable takeaways on mastering compliance.
Call us: (754) 423-3253
Visit: https://www.compliance.network/
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