Episode 9: Introducing The NEW Compliance "Mini-Cast" Series with Jason Luhan

08/05/21 • 9 min

This episode is the first in a series of mini-casts (short podcasts within a podcast) where The Translator host, Julie Mochan, will dig into financial regulatory and compliance topics with Chief Compliance Officer and General Counsel for The Pacific Financial Group, Inc. , Jason Luhan.
Look for lots of
About RiskPro: RiskPro® is a revolutionary technology platform that provides risk profiling, portfolio construction, and automated account surveillance. Serving as the World’s First Virtual Portfolio Strategist, RiskPro evaluates and communicates risk for investors, advisors, and home offices, utilizing a common language that is simple to understand. RiskPro was developed by ProTools, LLC., a RegTech innovator headquartered in Newport Beach, CA.
To learn more about how RiskPro enables financial institutions to achieve Perpetual Suitability, visit them at www.riskproadvisor.com Follow RiskPro on LinkedIn
Reach out to [email protected] to find out how we can easily help you mitigate liability for your firm while keeping advisors and compliance teams happy and healthy!
About The Pacific Financial Group, Inc.: Since 1984, The Pacific Financial Group, Inc. (TPFG) has built a rich tradition of serving financial advisors and investors with best-in-class investment solutions and unrivalled customer service. The firm was founded on the single premise that everyone, regardless of their account size, should have access to high quality investment opportunities and independent expert advice. Today, we are a dynamic WealthTech firm that blends over three decades of traditional asset management experience with leading-edge financial technology know-how, to provide products and services that empower financial freedom for advisors and their clients.

Previous Episode

Episode 8: Dare to Get Real with Expert Life/Leadership Coach Kerry Bestwick

In this episode, The Translator's host, Julie Mochan, first gives ridiculous "Julie Tips for Re-Entry into the Office Atmosphere":

avoiding people ☕🤨
changing the dress code🤠
wearing shoes 👟👠👞
hair and make-up 👱🏽‍♂️💈💄

and then dives deep and gets real by asking many important questions of expert Life and Leadership Coach, Kerry Bestwick.
Everyone from Executives, Professors, Athletes, Interns, Sports Teams, Students, Parents, can earn how to align your mental, physical, emotional and spiritual compass to start thriving , not just surviving your hectic life. Also in this episode (not necessarily is this order):

dealing with social media
wearing a "mask" to keep up with your title
reacting to emotions or numbing your emotions
Amy Cuddy's Fake it Til You Make It
energy vampires
accepting others
serving yourself so that you can help others
living "above the center line"
starting your day by defining yourself
lots more things!

About RiskPro: RiskPro® is a revolutionary technology platform that provides risk profiling, portfolio construction, and automated account surveillance. Serving as the World’s First Virtual Portfolio Strategist, RiskPro evaluates and communicates risk for investors, advisors, and home offices, utilizing a common language that is simple to understand. RiskPro was developed by ProTools, LLC., a RegTech innovator headquartered in Newport Beach, CA.
To learn more about how RiskPro enables financial institutions to achieve Perpetual Suitability, visit them at www.riskproadvisor.com Follow RiskPro on LinkedIn
Reach out to [email protected] to find out how Jeff Olsen, Brooks Marston, and Cory Kendall can easily help you mitigate liability for your firm while keeping advisors and compliance teams happy and healthy!
About Kerry Bestwick: "Kerry.Be" is illuminating the path for humans who wish to live their best lives versus simply survive. Kerry emigrated to the USA in 1999, beginning her quest for living her best life. She initiated her mission by acquiring extensive schooling in multiple physical fitness and personal training modalities, which quickly led her to the path of the Mind/Body connection. Since 2001, Kerry has been teaching yoga, mindfulness practices, and group experiences in multiple health clubs, at Penn State University, and beyond. Kerry is an Embodied Life Coach and Holistic Health Coach. Kerry works with the Bestwick Foundation programming; the Jana Marie Foundation on programming for youth; and she co-developed State High EmpowHER Group, a leadership group for young high school girls with a vision to LEAD powerfully. Kerry leads weekend and weeklong transformation retreats, having developed immersion programs such as her signature 40 Day Program and A.I.M Workshops. Kerry is the owner of PYP Studio, a Mind/Body fitness studio and co-owns Rothrock Coffee with her husband Jamie Bestwick, professional BMX athlete.
Intro Music By: Araelia Lopatic

Next Episode

Episode 10: Who is Affected by the DOL's Prohibited Transaction Exemption (“PTE”) 2020-02

In this second episode of the series of mini-casts (short podcasts within a podcast) ,The Translator host, Julie Mochan, gets talking about PTE 2020-02 with Chief Compliance Officer and General Counsel for The Pacific Financial Group, Inc. , Jason Luhan.
In December of 2020, the DOL adopted PTE 2020-02
🎙 Jason tells you who is affected by the DOL's final exemption
🎙Jason talks Vol. 55, Issue 3 2010 Fiduciary Obligations of the Broker-Dealers and Investment Advisers - a.k.a. the Villanova Law Review piece
🎙Investment Advisory and Fiduciary Obligations
About RiskPro: RiskPro® is a revolutionary technology platform that provides risk profiling, portfolio construction, and automated account surveillance. Serving as the World’s First Virtual Portfolio Strategist, RiskPro evaluates and communicates risk for investors, advisors, and home offices, utilizing a common language that is simple to understand. RiskPro was developed by ProTools, LLC., a RegTech innovator headquartered in Newport Beach, CA.
To learn more about how RiskPro enables financial institutions to achieve Perpetual Suitability, visit them at www.riskproadvisor.com Follow RiskPro on LinkedIn
Reach out to [email protected] to find out how we can easily help you mitigate liability for your firm while keeping advisors and compliance teams happy and healthy!
About The Pacific Financial Group, Inc.: Since 1984, The Pacific Financial Group, Inc. (TPFG) has built a rich tradition of serving financial advisors and investors with best-in-class investment solutions and unrivalled customer service.
The firm was founded on the single premise that everyone, regardless of their account size, should have access to high quality investment opportunities and independent expert advice. Today, we are a dynamic WealthTech firm that blends over three decades of traditional asset management experience with leading-edge financial technology know-how, to provide products and services that empower financial freedom for advisors and their clients.
Fool disclosure, Jason and Julie are superstars in alternate, noncorrelated universes.