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Join three top industry experts to discuss the need for and use of CRM and document management technology to automate recordkeeping, facilitate audits and ensure compliance. First, attorney Tom Giachetti of Stark & Stark—Investment Advisor’s “Compliance Coach”—identifies the legal and compliance issues advisors face in the wake of the most recent Dodd-Frank Act developments. Then, Junxure co-founder and President Greg Friedman joins Laserfiche Senior Consultant Tim Welsh to demonstrate how Laserfiche integrated with Junxure addresses these issues to streamline operations, reduce compliance costs and mitigate risk
Gregory H. Friedman is a co-founder and President of Private Ocean, and CRM Software, makers of Junxure and ClientView. Greg has regularly been recognized as one of the nation’s best financial planners, including being named to an elite list by Financial Planning Magazine as a 2008 "Mover and Shaker." Investment Advisor magazine named Greg as one of the "Top 25" most influential financial advisors in the industry in 2008 and 2009, one of only several people to be named two consecutive years. Friedman & Associates, Greg’s prior firm, was recognized by Charles Schwab Institutional with its prestigious IMPACT Award® in 2008 for "Best in Tech."
Thomas D. Giachetti is Chair of the Securities Practice Group at Stark & Stark. A former investment banker and FINRA-registered representative, his legal practice is devoted to investment-related matters, including the representation of investment advisers, financial planners and registered representatives throughout the United States. Tom is a frequent lecturer at securities industry compliance seminars, annual meetings and educational programs throughout the country. He is a recognized author and commentator on investment-related legal matters, including authoring the “The Compliance Coach” column in Investment Advisor Magazine.
Timothy D. Welsh is President and founder of Nexus Strategy, LLC, a leading consulting firm to the wealth management industry, and Senior Consultant to Laserfiche. Prior to founding Nexus Strategy, Tim was Director of Business Consulting Service for Schwab Institutional and Vice President at Merrill Lynch. Tim is the author of a number of industry white papers and articles and is a frequent speaker at industry conferences and events. He is an active member of the Financial Planning Association (FPA), where he serves in a leadership role on a number of task forces and committees.
