In this episode, Scott P. Gill interviews Ben White, Senior Director of Public Policy at ⁠Pontera⁠, about the role of third-party platforms in financial services, regulatory scrutiny, and the importance of data aggregation for investment advisors.

Together they discuss the implications of Texas guidance on data aggregation, the principles-based compliance approach, and the future of Pontera in providing holistic financial planning solutions for clients.

In this episode, host Scott P. Gill is joined by special guest, Kent Keister of Reliant Compliance. As experienced compliance consultants, they share the opinion that a firm's Annual Compliance Review is one of the most important tasks for a firm to complete each year. You'll learn why this fundamental task is crucial in maintaining a strong compliance program, and assists with the operations of the firm.

Our host, Scott P. Gill, was recently featured on The Advisors Edge Podcast with Rob Jacomen & Chad Ramburg.

They talk about going from being a solopreneur to building and scaling a successful firm, and the difficulties that business owners face when facing decisions they can't directly impact. Scott recommends having a strategy for the things you don't control and encourages swift and confident decision making to prevent bottlenecks.