Mythbusting Testimonials in Financial Services with Allie Zendrian Ep 002

SEC & Compliance Under President Trump 2025: Crypto, AI, Cybersecurity, and AML with Kristin Prieur Ep 004

Explore insightful conversations with industry leaders who thrive in the complexities of highly regulated markets. From overcoming challenges to seizing opportunities, we uncover the strategies that drive success in compliance-heavy industries. Hosted by Lowell Thompson Co-Founder of Superset. Guest info: Kristin Prieur is the RIA Compliance Rockstar, Director of Compliance Services at Key Bridge Compliance with extensive work experience making her the ideal guest to discuss these these topics. Key Bridge Compliance is a boutique consulting firm revolutionizing the regulatory landscape for SEC-registered investment advisers. With a passion for empowering advisory practices, we offer compliance solutions that leverage cutting-edge technology and industry expertise. Our compliance services not only help you meet regulatory requirements but also enhance your reputation, increase client trust, and create a competitive advantage in the marketplace.  From Firms seeking to launch their independent RIA, to established Firms, KBC provides practical and effective consulting services to allow RIAs to launch or grow their practice. With broad industry experience and a culture of continuous learning, we guide our client's past compliance-related risks every day. We also are dedicated to consistently providing outstanding personal service. We believe our clients should truly enjoy their interactions with us. We strive to become a trusted extension of every team we have the opportunity to serve. Lowell Thompson and Superset links https://www.linkedin.com/in/lowell-t-2227b074/ [https://www.linkedin.com/in/lowell-t-2227b074/] https://www.trustsuperset.com/ Kristin Prieur links: http://www.keybridgecompliance.com/ https://www.linkedin.com/in/kristin-prieur-iaccp/ [https://www.linkedin.com/in/kristin-prieur-iaccp/] Timestamps: 0:00 – Introduction to Data Dilemmas and guest Kristin Prieur from Key Bridge Compliance 0:14 – Trump 2025: How the Administration is reshaping compliance for investment advisers and fintech 0:35 – SEC changes: Leadership approval now required for formal investigations 1:29 – Impact of new approval steps on investigation speed and firm operations 2:39 – How CEOs and compliance leaders should adapt to regulatory slowdowns 3:39 – Key pending regulations: Custody rule changes, cybersecurity, and customer protection 4:43 – Executive Order: Repealing 10 regulations for every new one introduced 5:51 – How deregulation could both ease business processes and increase complexity 6:29 – Cybersecurity remains a top regulatory priority despite deregulation 7:14 – The impact of mandatory cybersecurity policies on smaller firms 8:01 – How new AML (Anti-Money Laundering) regulations will affect RIA firms in 2026 9:09 – The growing trend of outsourcing compliance and its future under deregulation 10:00 – What firms need to know about the upcoming AML law changes 10:38 – Staying up-to-date: Kristen’s go-to compliance resources and networking groups 11:21 – How will AI and crypto regulations evolve under Trump’s administration? 12:00 – Potential minimal crypto regulations vs. broader AI scrutiny 12:47 – Compliance advice for firms using AI: Best practices and risks 14:01 – Listener question: Will deregulation affect SEC reporting standards? 15:10 – Top compliance headaches for 2025: Cybersecurity, privacy laws, conflicts of interest 16:00 – SEC focus on asset classes: Annuities, leveraged ETFs, and more 16:29 – Where to find Kristen Prier online and closing remarks

Tap, Pay, Save: Reinventing Banking with Patrick Enin, CEO of MoneSave Ep 003

Explore insightful conversations with industry leaders who thrive in the complexities of highly regulated markets. From overcoming challenges to seizing opportunities, we uncover the strategies that drive success in compliance-heavy industries. Hosted by Lowell Thompson Co-Founder of Superset. Guest: In a world where social media is so prevalent, we as a society, are still isolated when it comes to savings. Our mission is to make Payments & Investing, a traditionally boring topic, fun and social again! At Monesave, We provide our Users with Contactless Payment Rings [https://monesave.shop/products/easy-setup-payment-ring-black] to make payments conveniently while also investing effortlessly each time you spend. We are not a bank, because thats boring! Monesave.... is a global, boundary-free, fintech focused on our customers. With Monesave, you have a comunity of users to encourage and spur you on. Lowell's links https://www.linkedin.com/in/lowell-t-2227b074/ https://www.trustsuperset.com/ Patrick's links https://www.linkedin.com/in/patrick-enin/ https://monesave.com/ Timestamps: 0:00 - Introduction Patrick Enin, CEO of MoneSave 0:06 - The Mission: Making Saving Painless 0:30 - How the MoneSave Payment Ring Works 1:40 - MoneSave’s Unique Approach 2:50 - Security & User Protection 3:50 - Why Diversifying Your Banks is Essential 4:50 - The Challenge of Introducing New Financial Habits 6:00 - Competing with AMEX & Centurion: A Premium Experience for Everyone 7:15 - Compliance Challenges in Fintech 9:30 - Balancing Compliance, Investors, and Customers 11:00 - Best Practices for Navigating Compliance as a Startup 12:50 - Managing Runway and Development Timelines 14:30 - The Reality of Launching a Fintech App 16:50 - Pivoting Based on Data: From Savings App to Payment Ecosystem 19:00 - The Rise of Payment Rings 21:00 - The Compliance Balancing Act 24:00 - Why Customer Experience is Key in Compliance & Banking 27:00 - The Power of Customer-Focused Compliance 29:00 - Looking Ahead: MoneSave’s 2025 Goals 32:50 - Where to Find MoneSave & The Payment Ring

Mythbusting Testimonials in Financial Services with Allie Zendrian Ep 002

Explore insightful conversations with industry leaders who thrive in the complexities of highly regulated markets. From overcoming challenges to seizing opportunities, we uncover the strategies that drive success in compliance-heavy industries. Hosted by Lowell Thompson Co-Founder of Superset.  AtoZ Communications shares brands’ stories within the areas of financial services, fintech, healthtech, healthcare, coaching and more.  Specializing in crafting narratives that resonate and taking the necessary steps to ensure messages reaches their target audience effectively, AtoZ Communications’ expertise includes writing press releases and developing creative thought leadership articles, among other methods of disseminating messages.  Led by a former reporter, AtoZ Communications clients’ receive skilled proactive media relations and media training.  Lowell’s Links https://www.linkedin.com/in/lowell-t-2227b074/ Alexandra Zendrian’s Links https://www.atozcommunications.biz/ 0:00 - Introduction Guest introduction: Allie, Founder of A to Z Communications 0:15 - Compliance Challenges in Financial and Healthcare Sectors 0:32 - Financial Advisors’ Fear of Testimonials 1:00 - Mythbusting: Testimonials in Financial Services 1:28 - Compliance in Healthcare Testimonials 2:10 - Key Testimonial Rules in Highly Regulated Markets 3:00 - The Right Way to Gather Testimonials 4:10 - Best Practices for Managing Testimonials 5:20 - Leveraging Testimonials for Marketing & PR 6:30 - Using Testimonials for Brand Growth 7:18 - Closing Remarks & Where to Find Allie

How to get into Micro SaaS for Financial Services with Cory Roberson, CEO of Fin Compliance | Ep: 001

Explore insightful conversations with industry leaders who thrive in the complexities of highly regulated markets. From overcoming challenges to seizing opportunities, we uncover the strategies that drive success in compliance-heavy industries. Hosted by Lowell Thompson Co-Founder of Superset. FIN Group:  Initially launched as our flagship brand, FIN Compliance, we have since evolved into a consortium of partners dedicated to helping investment firms structure, maintain, and grow their businesses. Since 2012, we have proudly served over 200 firms in this ecosystem.  Visit us at FINGroup.io.  Today, we provide solutions ranging from consulting to SaaS platforms, specializing in compliance, sales, and integration systems for financial services firms, fractional executives, and consultants. Our clients include SEC- and state-registered investment advisors, financial planners, insurance agents, private funds, broker-dealers, SaaS, and consulting vendors.  Lowell / Superset Links https://www.linkedin.com/in/lowell-t-2227b074/ [https://www.linkedin.com/in/lowell-t-2227b074/]https://www.trustsuperset.com/ Cory Links https://fincompliance.io/ Timestamps 00:00: Introduction of the podcast and the guest, Corey Robertson. 00:09: Corey Robertson introduces himself and his company, Fin Group. 00:35: Discussion on transitioning from service offerings to tech products and the importance of understanding customer problems. 01:28: The emergence of AI and its impact on the pace of product launches. 02:57: Strategies for overcoming rejection and building confidence in sales. 04:01: Identifying urgency and refining product offerings based on customer feedback. 05:31: Challenges with scope creep and focusing on target customers. 07:30: Importance of standardizing packages and maintaining relationships for long-term value. 09:21: Building trust and rapport in sales interactions; avoiding aggressive sales tactics. 10:50: Transitioning from consulting to micro SaaS products and the role of experimentation. 12:01: The rise of micro SaaS tools and their impact on entrepreneurship in 2025. 14:31: Leveraging consulting experience to develop SaaS solutions based on validated customer pain points. 16:115: Refining and pivoting products to align with market needs while managing resources effectively. 18:16: Discovery processes and idea generation through community engagement and events. 19:41: Frameworks for launching SaaS products, including soft launches and building email lists. 21:06: The importance of pricing strategy, market research, and translating value to customers. 23:41: Exploring opportunities for bundling solutions and integrating additional tools. 24:23: Closing remarks and invitation to join Corey's community.