The Synergy Compliance Podcast
The Synergy Compliance Podcast
Podcast Description
Whether you're a solo advisor, part of a growing firm, or managing compliance at scale, The Synergy Compliance Podcast breaks down the latest regulatory updates, compliance best practices, and real-world challenges—without the legalese.
Podcast Insights
Content Themes
The podcast focuses on compliance updates, regulatory challenges, and operational efficiency, featuring episodes like Borrowing Insights from Non-Financial Industries, where the host discusses lessons from manufacturing and hospitality, and Dos and Don'ts of CRM Management, which covers practical tips for using CRM systems effectively in compliance management.
Whether you’re a solo advisor, part of a growing firm, or managing compliance at scale, The Synergy Compliance Podcast breaks down the latest regulatory updates, compliance best practices, and real-world challenges—without the legalese.
What does cybersecurity compliance look like when regulators expect more than just policies and procedures?
In this episode, Scott P. Gill sits down with Brian Hahn, Founder of MTradecraft, to discuss how cybersecurity examinations are evolving and what RIAs need to do to stay ahead. Drawing on decades of experience in trading, compliance, intelligence analysis, and cybersecurity consulting, Brian explains why firms must move beyond documentation and focus on demonstrating real-world implementation.
Together, they explore common cybersecurity gaps, the risks of relying too heavily on managed service providers, the value of thinking like an attacker, and how advisory firms can responsibly adopt AI while maintaining compliance. If you’re looking to strengthen your firm’s cybersecurity posture and prepare for future SEC examinations, this episode delivers practical insights you can apply immediately.
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