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.

On June 9, 2026, the SEC Division of Examinations published a risk alert reminding advisers of their fiduciary duty to their clients. On this episode of The Synergy Compliance Podcast, we hear from former SEC Examiner, Andrew Schuster, on what regulatory exams look like from the other side of table, particularly in the context of the recent SEC risk alert.

Andrew left the Commission to launch ClearView Regulatory Compliance, where he helps advisers prepare for SEC examinations through mock exams, exam support, and remediation built on how examiners actually assess risk in practice.

Whether you've already been through an exam, or are anticipating one in the future, this is a must listen for independent RIAs. Hone your compliance strategies by listening to advice from Andrew's nearly 30 years of experience.

What does it really take to turn charitable giving into an effective, compliant strategy?

In this episode, Scott P. Gill sits down with Theresa Curry, SVP of Charitable Gift Planning at Heifer International Foundation, to break down the real-world challenges behind philanthropic planning. Theresa shares practical insights on giving strategies, IRS rules, and how advisors can confidently bring philanthropy into client conversations.

Along the way, they unpack why so many donors misunderstand key rules around qualified charitable donations, how last-minute giving can create unnecessary risk, and what advisors should be doing earlier in the year to stay ahead. You’ll also walk away with simple, actionable tips for navigating complex regulations, building stronger donor trust, and aligning charitable intentions with meaningful impact.