Thomas D. Giachetti

Recurring Industry Engagements

Columnist – Investment Advisor Magazine: The Compliance Coach

• March 2024 – The SEC Marketing Rule Sweep Has Begun
• February 2024 – Advisors Face Enhanced Reporting of Say-on-Pay Votes
• January 2024 – What Firms Must Disclose Before a Rollover Under New DOL Rule
• December 2023 – SEC Highlights Exam Priorities for 2024
• November 2023 – What to Know and Do Now About Bitcoin
• September 2023 – Beware, the SEC Is Coming for You!
• July/August 2023 – Don’t Follow the Lazy Compliance Crowd
• June 2023 – Could Non-Compete Agreements Be Finished?
• April/May 2023 – Are You Ready for the DOL’s Next Fiduciary Deadline?
• February/March 2023 – 5 Keys to a Smart Texting Policy
• December 2022/January 2023 – New SEC Marketing Rule: How to Use Testimonials
• November 2022 – 7 Advertising Don’ts Under New SEC Marketing Rule
• October 2022 – More States Adopt Advisor CE Requirements
• July/August 2022- How to Avoid Code of Ethics Infractions and Misuse of Non-Public Information
• June 2022- 4 Ways SEC’s New Proposed Rules Put Cyber Security Front and Center
• April/May 2022- The DOL Rule Is Finally Here. You Must Be Ready
• March 2022- Are You Keeping an Eye on Your Service Providers?
• January/February 2022- A Privacy Check-Up Can Keep Advisors Out of Trouble
• December 2021- Beware of DOL Prohibited Transactions
• November 2021- The SEC Is Watching Closely How Advisors Protect Clients from Identity Theft
• October 2021- 4 SEC Hot Buttons to Address Immediately
• September 2021- RIA Arbitration Numbers Have Increased; Make Sure You’re Represented
• July/August 2021- Five Ways Employers Can Avoid Discrimination Actions
• June 2021- How Will the Pandemic Change Regulation?
• May 2021- DOL Rule Redux
• April 2021- How to Prepare Your Firm for an Acquisition
• March 2021- Steps to Prepare for 2021 Compliance Issues
• January/February 2021- Steps to Prepare for 2021 Compliance Issues
• December 2020- Heed the New Guidance on Form CRS
• November 2020- How New SEC Proxy Voting Rules Affect Advisors
• October 2020- CFP Board Is Now Enforcing New Code of Ethics and Standards of Conduct
• September 2020- Remain Vigilant About Regulations During the Pandemic, Too
• July/August 2020- How to Bolster cybersecurity during a Pandemic
• June 2020- Is the PPP Just a Loan?
• May 2020- Get Ready for Wave of Client Complaints, Compliance Issues
• April 2020- Take Care on Form ADV Extensions, Check Details on Form CRS
• March 2020- What California’s Data-Privacy Act Means for RIAs
• January/February- New Ethical Standards Are Now in Effect!
• December 2019- Be Alert to M&A Nuances
• November 2019- Watch out for ERISA- Prohibited Transaction Pitfalls
• October 2019- SEC May Be Onto ­Something: Form CRS
• September 2019- Demystifying RIA/IAR Legal Requirements
• July/August 2019- How to Protect Your Trademark- and Your Business
• June 2019- Trademarks Can Be Problematic
• May 2019- Pay Attention to Government Mandates on Biz Continuity Plans
• April 2019- Don’t Let Your Cybersecurity Policy Slip
• March 2019- Business Divorces Can Be Hell
• January/February 2019- Start 2019 Right by Syncing Your Personnel Protocols
• December 2018- Inside the SEC’s Best Execution Risk Alert
• November 2018- Have Questions about the GDPR?
• October 2018- Required: Referral Fee Compliance
• September 2018- It’s All About the Benjamins
• August 2018- SEC Clarifies ‘Inadvertent Custody’
• July 2018- New DOL Bulletin Muddies ESG Waters
• June 2018- DOL Limbo
• May 2018- What Advisors Need to Know About GDPR
• April 2018- Time to Act Now on the Rule 12b-1 Initiative
• March 2018- The Skinny on the Broker Protocol
• February 2018- What to Do About Form ADV Amendments
• January 2018- Won an Award? Brag With Caution
• December 2017- Beware: The Bully Lives
• November 2017- SEC to Advisors: Stop Sloppy Ads
• October 2017 – The Long-Awaited Fiduciary Rule Delay
• September 2017 – What’s Required Under DOL’s Best-Interest Contract Exemption
• August 2017 – The DOL Fiduciary Rule: Implementation and Level-Fee Fiduciaries
• July 2017 – The DOL Fiduciary Rule: Managing the Transition Period
• June 2017 – When Do Advisors Have Custody Relief?
• May 2017 – Soft Dollar Arrangements Under the Postponed DOL Rule
• April 2017 – Solicitor Arrangements: An Overlooked Casualty of DOL Fiduciary Rule
• March 2017- What Do You Do When the FBI Is at Your Door?
• February 2017- IRS Eyeing Micro-Captive Insurance Transactions
• January 2017- With White Departure from SEC, Hopefully the Bullying Will End
• December 2016- Three Examples of Regulator Scrutiny
• November 2016- SEC Announces Reporting Changes for Advisors on SMAs, Performance
• October 2016- New Federal Law, SEC Scrutiny Triggers Clarification of Whistleblower Rights
• September 2016- DOL Rule: Is That All There Is?
• August 2016- SEC Proposes New Rule to Require Business Continuity Plans
• July 2016- How to Comply With DOL’s BICE
• June 2016- Prohibited Transactions in a Post-Fiduciary Rule World
• May 2016- ‘Top-Down Compliance’ Isn’t Just a Buzzword
• April 2016- Can Advisors Disclose Away 12b-1 Fee Conflicts?
• March 2016- New Jaw Eases Advisors’ Disclosure Burden
• February 2016- Is Your Advertising Prohibited?
• January 2016- Advisors, Own Your Compliance
• December 2015- How to Fix the SEC Exam Process
• November 2015-SEC Clarifies RIAs’ Cybersecurity Obligations
• October 2015- Treasury Considers Anti-Money Laundering Regs
• September 2015- A Message From the SEC- Listen Up!
• August 2015- SEC Proposes Significant Changes to Form ADV Part 1
• July 2015- Does Your CCO/Senior Management Relationship Need Improvement?
• June 2015- Are Your ‘Best Pracitces’ Good Practices?
• May 2015- 5 Key Issues for a Succession Plan
• April 2015- Why the SEC Doesn’t Need to Regulate Succession Planning
• March 2015- Fight Back Against ‘Aggressive’ Exams
• February 2015- Don’t Be Complacent About Compliance
• January 2015- The SEC Exam Process Lacks Consistency
• December 2014- The ERISA Mystery Part 11: Model Portfolios in Participant-Directed Plans
• November 2014- The ERISA Mystery
• October 2014-The SEC and E-Signatures
• September 2014 – The SEC is Getting Into the Weeds
• August 2014 – Personal Securities Reporting – Push Back at Your Peril
• July 2014 – Cybersecurity- The SEC’s Critical Initiative
• June 2014- SEC Releases Guidance on Social Media Testimonials
• May 2014- The Municipal Advisor Law and Its Implications: Several of the terms within the new law must be defined further
• April 2014- Private Funds: Are You a “Knowledgeable Employee”?
• March 2014- Did You Miss the Deadline on SEC’s Reg S-ID?
• February 2014- Overseeing the Supervisor
• January 2014- How to Establish a Culture of Compliance
• December 2013- The SEC Is Coming
• November 2013- Exam Update: Are You Ready for the SEC?
• October 2013- SEC Issues Risk Alert and Reminder: Continuity Plans and Reg S-ID
• September 2013- Making Sense of Form 13F
• August 2013- Regulators Renew Focus on Business Continuity, Disaster Recovery Plans
• July 2013- Do You Need to File Form PF?
• June 2013- Waving the Red Flag
• May 2013- 4 Factors for Compliance Success
• April 2013- What Trait Defines Top Advisors?
• March 2013- Three Keys to a Strong Facebook Policy
• February 2013- The 2013 Compliance To-Do List
• January 2013- Securing Your Clients’ Information
• December 2012- The Dangers of Complacency
• November 2012- 18 Critical New Policy and Procedures for 2012-2013
• October 2012- 4 Causes of Advisory Firm Ownership Divorces
• September 2012- The New and (Not) Improved Exam Process
• August 2012 – Due Diligence: An Advisor’s Obligation
• July 2012 – Fiduciary Duty: Best Execution Obligations
• June 2012- Fiduciary Duty: Best Practices for Fulfilling Suitability Obligations
• May 2012 – Using Solicitors—Are You Compliant?
• April 2012 – The Limited Scope Examination
• March 2012 – Are You Fulfilling Your ‘Mandatory’ Training Requirement?
• February 2012- Top 10 Compliance To-Do’s for 2012
• January 2012 – The Large Trader Rule
• December 2011 – Seven Easy Rules for a Safe Policies and Procedures Manual
• November 2011 – The Long Arm of Dodd-Frank
• October 2011 – SEC Adopts Family Office Rule
• September 2011 – Will the SEC Ever Learn? Don’t Count On It
• August 2011 – E&O Errors
• July 2011 – Are You Prepared for a Regulatory Exam?
• June 2011 – From Deadlines to Lifelines
• May 2011 – You Can’t Regulate Crooks
• April 2011 – Dodd-Frank: An Overview of Pending Changes for Investment Advisors?
• March 2011 – Get Form ADV Right
• February 2011 – 2011 Compliance Checklist
• January 2011 – Keeping Political Contributions Compliant
• December 2010 – Will You Stay SEC Registered in 2011?
• November 2010 – New Form ADV: Re-Arranging the Deck Chairs
• October 2010 – Custody: Why You May Actually Have It
• September 2010 – Will the SEC Ever Learn? Don’t Count On It
• August 2010 – Independent Advisors: Don’t Violate the Protocol
• July 2010 – An IPS Happy Medium
• June 2010 – Independence’s Issues

Columnist – Investment Advisor Magazine: Expert’s Corner

• October 2009 – Look Before You Lay Of
• September 2009 – It Beats Getting Sued
• June 2009 – Complacency, Risk, and the SEC Audit
• February 2009 – The Skinny on the Protocol
• November 2008 – Reasoned and Reasonable: Making the case for regulation that makes sense
• August 2008 – The Three Troubling Themes
• May 2008 – Got Unhappy Clients?
• February 2008 – Is An IPS the Answer?
• December 2007 – Use Them, but Carefully
• November 2007 – Confusion and Misinformation
• August 2007 – Internal Medicine: The options for structuring an internal succession plan
• June 2007 – Look Before Leaping

Expert Witness – Securities industry litigation and arbitration matters throughout the United States

Recent National Speaking Engagements

• National Association of Active Investment Managers (NAAIM) Uncommon Knowledge Conference. “How to Navigate a Regulatory Exam and Avoid/Address Client Complaints in an Ever-Increasing Aggressive Regulatory Environment”. April 28, 2024 (Orlando, FL).
• National Association of Active Investment Managers (NAAIM) Outlook Conference. “How to Successfully Navigate a Regulatory Exam in an Ever Increasing Aggressive Environment: Compliance Continues to Become More Onerous”. November 9, 2023 (Rosemont, IL).
• National Association of Active Investment Managers (NAAIM) Uncommon Knowledge Conference. “How to Successfully Navigate a Regulatory Exam in an Ever Increasing Aggressive Environment: Compliance Continues to Become More Onerous”. May 9, 2023 (Scottsdale, AZ).
• National Association of Active Investment Managers (NAAIM) Outlook Conference. “How to Successfully Navigate a Regulatory Exam in an Ever Increasing Aggressive Environment”. October 24, 2022 (Dallas, TX).
• National Association of Personal Financial Advisors (NAPFA) Fall 2022 National Conference. “How to Successfully Navigate a Regulatory Exam in an Ever Increasing Aggressive Environment”. October 20, 2022 (Denver, CO).
• Financial Planning Association (FPA) NorCal Conference. “How to Successfully Navigate a Regulatory Exam in an Ever Increasing Aggressive Environment”. May 31-June 1, 2022 (San Francisco, CA).
• The Gladstone M&A Conference. May 3-4, 2022 (Philadelphia, PA).
• National Association of Active Investment Managers (NAAIM) Conference: Uncommon Knowledge 2022. “How to Successfully Navigate a Regulatory Exam in an Ever Increasing Aggressive Environment”. April 24-27, 2022 (Tampa, FL).
• Insider Forum Conference. October 6-8, 2021 (Nashville, TN).
• National Association of Personal Financial Advisors (NAPFA) 20 Spring Conference. May 5-7, 2021.
• National Association of Active Investment Managers (NAAIM) Webinar “New Advertising Rules – Tread Carefully.” March 10, 2021.
• Schwab’s 2021 Compliance Seminars. February 16, 2021
• Deals & Dealmakers Webcast: Capstone Debate: The Insiders’ Views on Deal Structuring, Negotiations and Legal Documents. Echelon Partners. November 16, 2020
• National Association of Active Investment Managers (NAAIM) Conference 2020. October 29, 2020 (Chicago, IL).
• 2020 Insider’s Forum. October 15, 2020 (Austin, TX).
• Schwab’s 2020 Compliance Seminars. March 11, 2020 (NYC); September 17, 2020
• 2020 Financial Planning Association (FPA) DFW Annual Conference (Dallas/Fort Worth, TX)
• Dimensional Compliance Forum- Dimensional Fund Advisors. October 25, 2019 (Charlotte, NC)
• Fidelity- 2019 Inside Track Seminars. June 13, 2019 (Boston, MA)
• National Association of Personal Financial Advisors (NAPFA) 2019 Spring Conference. May 13-16, 2019 (Austin, TX).
• National Association of Active Investment Managers (NAAIM) Conference: “Learn How to Successfully Complete a 2019 SEC Exam,” April 29, 2019 (Phoenix, AZ)
• Schwab’s 2019 Compliance Seminars. January 2019 (NYC, NY); February 2019 (Chicago, IL); February 2019 (Birmingham, AL); February 2019 (Atlanta, GA); April 30, 2019 (Phoenix, AZ); May 1, 2019 (Denver, CO)
• Schwab’s 2018 Compliance Seminars. August 8, 2018 (Boston, MA); August 2018 (Detroit, MI); August 2018 (Rochester, NY).
• Financial Planning Association (FPA) of Northeast Florida. May 24, 2018 (Jacksonville, FL)
• Financial Planning Association (FPA) DFW Annual Conference. May 16-17, 2018 (Irving, TX)
• National Association of Active Investment Managers (NAAIM) Conference: Uncommon Knowledge 2018. “Compliance Insights”. April 23, 2018 (Orlando, FL)
• Raymond James Wealth Managers Conference. October 2, 2017. (Boca Raton, FL.)
• 2017 Insider’s Forum. “How to Successfully Complete a Regulatory Examination.” September 7, 2017.
• 2017 FPA Major Firms Summit. “A Period of Uncertainty: A DOL Update”. March 9, 2017 (Jersey City, NJ)
• Junxure Advisor Conference. September 29-30, 2016 (Denver, CO)
• Schwab’s 2016 Compliance Seminars. January 21, 2016 (New York City, NY) ; August 17, 2016, Detroit, MI; August 18, 2016, Rochester, NY.
• Fidelity- 2016 Inside Track Seminars. May 24, 2016, Charlotte, NC; May 25, 2016, Richmond, VA; June 15, 2016, Philadelphia, PA; June 16, 2016, Pittsburgh, PA.
• National Association of Active Investment Managers (NAAIM) Conference: “Uncommon Knowledge 2016”. May 1-4, 2016 (Fort Lauderdale, FL)
• TD Ameritrade National LINC Conference. February 3-5, 2016 (Orlando, FL)
• Financial Planning Association. November 20, 2015 (Connecticut)
• Schwab’s 2015 Compliance Seminars. November 17, 2015 (Detroit, Michigan; November 18, 2015, Rochester, NY.)
• Raymond James 2015 Wealth Managers Conference. October 19-21, 2015 (Naples, FL)
• Insider’s Forum: “Navigating the Minefield”. September 29, 2015 (Phoenix, AZ)
• IA Watch: 15th Annual IA “Commitment to Compliance” Fall Conference 2015. September 21, 2015 (Philadelphia, PA)
• CFA Institute: 19th Annual GIPS Standards Conference: “Preparing for an SEC Exam”.  September 17, 2015 (Coronado, CA)
• Fidelity Learning Exchange- Custody and Conflicts: SEC Focus Areas to Tackle Today: “Custody and Conflicts: SEC Focus Areas to Tackle Today”. September 10, 2015 (Rochester, NY)
• National Association of Active Investment Managers (NAAIM) Conference: “Uncommon Knowledge 2015”. May 3-6, 2015 (Newport Beach, CA)
• CFA Wealth Management Conference. Keynote Address: “Cyber Risk- What You Need to Know”. March 4-5, 2015 (New Orleans, LA)
• T3 Conference. February 12-14, 2015 (Dallas, TX)
• TD Ameritrade National Conference. January 29, 2015 (San Diego, CA)
• IMCA National Conference. December 9, 2014 (Phoenix, AZ)
• Fidelity- 2014 Inside Track Seminars. March 19, 2014, Washington, D.C.; June 2, 2014, Boston, MA; July 17, 2014, Half Moon Bay, CA; August 27, 2014, Dana Point, CA; September 11, 2014, Chicago, IL; October 30, 2014, New York, NY.
• 2014 NAPFA Fall Conference. October 22, 2014 (Charlotte, NC)
• Financial Planning Association. June 20, 2014 (Washington, D.C.)
• National Association of Active Investment Managers (NAAIM) Conference: “Uncommon Knowledge 2014.” May 5-7, 2014 (Ft. Lauderdale, FL)
• National Advisors Trust Annual Conference. May 2, 2014 (Orlando, FL)
• Schwab’s 2014 Compliance Seminars. January 16, 2014, New York, NY; February 18-20, 2014, Richmond/McLean, VA; February 25-27, 2014, Denver, CO/Phoenix, AZ/San Francisco, CA; March 5-6, 2014, Baltimore, MD & Radnor, PA.
• Barron’s Top Independent Advisors Summit. March 2014 (Phoenix, AZ)
• AICPA Advanced Personal Financial Planning Conference. January 20-22, 2014 (Las Vegas, NV)
• Schwab IMPACT 2013. November 2013 (Washington, D.C.)
• IA Compliance 101 Conference: Luncheon Address. October 18, 2013 (Washington, D.C.)
• Laserfiche Compliance Roadshow. October 8-10, 2013 (Minneapolis, MN, Boston, MA & Philadelphia, PA)
• Fidelity- East Coast Conference. October 2-3, 2013 (New Brunswick, NJ)
• Junxure Advisor Conference. September 16, 2013 (Dallas, TX)
• National Association of Active Investment Managers (NAAIM) Conference. April 29-May 1, 2013 (Denver, CO)
• Barron’s Top Independent Advisors Summit. March 6, 2013 (Orlando, Fl)
• 2013 Fidelity National Conference. February 28, 2013 (New York, NY)
• Schwab’s 2013 Compliance Seminars. January 23-24, Portland, ME; February 12, 2013, Stowe, VT; February 14, 2013, Philadelphia, PA; February 19, 2013, Clarfeld; February 21, 2013, Orlando, FL; March 14, 2013, Boston, MA; March 19, 2013, Tysons Corner; March 20, 2013, Richmond, VA; March 26, 2013, Hartford, CT.
• 2013 TD Ameritrade Institutional National Conference. January 30, 2013 (San Diego, CA)
• 2013 AICPA Advanced Personal Financial Planning Conference. January 21-23, 2013 (Las Vegas, NV)
• Charles Schwab Compliance Conference, January 17, 2013 (New York, NY)
• Laserfiche Workshop: Staying Compliant and Competitive in the Post-Dodd-Frank World. November 28-29, 2012 (New York, NY & Dallas, TX)
• Schwab IMPACT 2012. November 15, 2012 (Chicago, IL)
• IN Advisor Solutions 2012 Fall Workshop. October 19, 2012. (Chicago, IL)
• Raymond James Investment Advisor Division – 2012 Wealth Managers Conference. September 25, 2012. (Naples, FL)
• 2012 Fidelity National Conference. August 22, 2012., Dana Point, CA; October 11, 2012, Dallas, TX
• Schwab’s 2012 Knowledge Forum. April 24, 2012, La Quinta, CA; May 16, 2012, Carmel Valley Ranch, CA; May 31, 2012, Tysons Corner, VA; August 9, 2012, Indianapolis, IN
• Barron’s Top Independent Advisors Summit. March 23, 2012 (Scottsdale, AZ)
• Investment Adviser Association- 2012 Compliance Conference. March 8, 2012 (Arlington, VA)
• TD Ameritrade Institutional 2012 National Conference. February 2, 2012 (Orlando, FL)
• Charles Schwab Compliance Conference, January 19, 2012 (New York, NY)
• AICPA Advanced Personal Financial Planning Conference. January 18, 2012 (Las Vegas, NV)
• Charles Schwab Compliance Conference. January 10, 2012 (Baltimore, MD)
• FPA-NY Best Practices Forum 2011. December 14, 2011 (New York, NY)
• Laserfiche Conferences 2011. November 14-15, 2011 (San Francisco, CA & Chicago, IL)
• Schwab IMPACT 2011. November 2, 2011 (San Francisco, CA)
• Capital Analysts: Wealth Management Forum. October 17, 2011 (Cincinnati, OH)
• 2011 Avenue Advisors Wealth Management Forum. October 13, 2011 (Chicago, IL)
• 2011 DWS Investments RIA Summit. September 22, 2011 (Chicago, IL)
• FOX Regulatory Workshop: Preparing for the New Era of Family Office Regulation. September 7-8, 2011 (New York, NY)
• Investment News: 2011 Going Independent Workshops. June 21, 2011 (Philadelphia, PA); June 16, 2011 (San Francisco, CA); June 14, 2011 (Dallas, TX)
• 2011 Financial Planning Association Retreat. May 5, 2011 (Bonita Springs, FL)
• NAAIM: Uncommon Knowledge Conference 2011. May 2, 2011(San Diego, CA)
• The Barron’s Winner’s Circle Independent Advisors Summit – Keynote Speaker. March 23-25, 2011 (Orlando, FL)
• FPA Major Firm¹s Regional Summit. March 16, 2011 (New York, NY)
• FPA Business Solutions 2011 Conference. March 3-5, 2011 (Cambridge, MA)
• Realty Capital Securities 2011 Conference. February 16, 2011 (Orlando, FL)
• TD Ameritrade 2011 National Conference. February 2-4, 2011 (San Diego, CA)
• FPA Regional Conference 2011. January 28, 2011 (Washington, DC)
• Schwab Regional Conference 2011. January 25, 2011 (Philadelphia, PA)
• Schwab – A Compliance Update: The effect of Regulatory Changes for Investment Advisors. January 20, 2011 (New York, NY)
• Schwab IMPACT 2010. October 28, 2010 (Boston, MA)
• Raymond James – Wealth Management Conference. October 27, 2010 (Tampa, FL)
• NAPFA – PM&I Conference. September 22-24, 2010 (San Diego, CA)
• TD Ameritrade Regional Conference. September 20, 2010 (San Francisco, CA)
• Fidelity Institutional Wealth Services – IPS Webinar. July 22, 2010
• Schwab – Economic and Legal Considerations for Recruiting New Advisors. July 21, 2010 (Philadelphia, PA)
• Schwab –Surviving Regulatory Scrutiny in the Post-Madoff Era. July 14, 2010 (Chicago and Milwaukee)
• InvestmentNews – What You Need to Know About Going Independent. June 14-16, 2010 (Los Angles and Chicago)
• Pershing – INSITE 2010 National Conference. June 10, 2010 (New York, NY)
• Barron’s Winner’s Circle – Top Independent Advisors Summit. April 14-16, 2010 (Orlando, FL)
• TD AMERITRADE Institutional – 2010 National Conference. February 4, 2010 (Orlando, FL)
• Schwab Impact 2009. September 15, 2009 (San Diego, CA)
• Capital Analysts Incorporated – Wealth Management Forum. September 10, 2009 (Phoenix, AZ)
• NAPFA National Conference. June 3, 2009 (National Harbor, MD)
• Barron’s Top Independent Advisors Summit. May 6-8, 2009 (Phoenix, AZ)
• NAAIM – Uncommon Knowledge­2009 Conference. May 5, 2009 (Denver, CO)
• TD AMERITRADE Institutional – Partnership 2009 National conference. February 4, 2009 (Las Vegas, NV)
• Investment Advisor Summit. December 2, 2008 (Washington, DC)
• Schwab – IMPACT 2008. October 25, 2008 (Atlanta, GA)
• Raymond James – 2008 Investment Managers’ Inaugural Conference. October 21, 2008 (St. Petersburg, FL)
• FPA – Advisor Myths. September 24, 2008 (Phoenix, AZ)
• Capital Analysts Incorporated Succession Planning Conference. September 17, 2008 (Cincinnati, OH)
• TD AMERITRADE Institutional 2008 Fall Regional Conference. September 15, 2008 (Chicago, IL)
• Investment Advisor Compliance Conference. June 23, 2008 (New York, NY)
• FPA – Financial Forum 2008. June 16, 2008 (Chicago, IL)
• Fidelity – Inside Track: Is your firm doing what is necessary to avoid critical compliance & business operational errors? June 10, 2008 (San Francisco, CA); May 22, 2008 (Chicago, IL); June 2-3, 2008 (Dallas, TX); February 26, 2008 (Washington, DC)
• Pershing – INSITE 2008 – What every advisory firm, CCO and principal need to know to protect the firm’s business. June 4, 2008 (Hollywood, FL)
• FPA Nor Cal – Compliance Mock Cross-Examination: How simple oversights become legal time bombs. May 26, 2008 (San Francisco, CA)
• Investment News – The Truth About Going Independent. May 14-16, 2008 (Chicago, IL)
• FPA Symposium – Advisor Myths. May 1, 2008 (Albany, NY)
• Schwab – Transition Planning: How to transform your business through mergers and acquisitions. April 28, 2008 (Austin, TX)
• TD Ameritrade Regional Conference. March 12, 2008 (Maryland)
• TD Ameritrade National Conference. February 8, 2008 (Orlando, FL)
• Raymond James Financial Services National Conference. January 14, 2008 (St. Petersburg, FL)
• Fidelity: Best Practices Conferences 2008. (Washington, DC, Dallas, San Francisco, Seattle, Boston, and Atlanta)
• Schwab Institutional – IMPACT 2007. October 30, 2007 (Las Vegas)
• Schwab Regional Conferences – 2007. (Cleveland, Cincinnati, Chicago, Philadelphia, Denver, Phoenix and St. Louis)
• Financial Planning Symposium. October 9, 2007 (Chicago, IL)
• TD Ameritrade: Fall Regional Conference. September 19, 2007 (Dallas, TX)
• Raymond James Financial Services Annual Conference. September 17, 2007 (Nashville, TN)
• Fidelity: Best Practices Conferences – 2007. (Phoenix, Seattle, Houston, Boston, and Atlanta)
• Financial Planning Association – Practice Management Issues for Investment Advisors. May 30, 2007 (Northern California, San Francisco)
• NAAIM National Conference. May 6-9, 2007 (Orlando, FL)
• NAPFA National Conference. May 2-6, 2007 (Chicago, IL)
• NICCP Annual Conference – Compliance Issues Pertaining to College Planners. May 3, 2007 (Las Vegas)
• InterShow & Financial Advisor Magazine Financial Advisor Symposium – The Applicability of the Pension Protection Act to Investment Advisors. 2007 (Las Vegas)
• TD Ameritrade 2007 National Conference – New Compliance Issues Facing Investment Advisors. February 9, 2007 (San Diego, CA)
• IMCA National Conference – Hedge Fund Regulation. January 30, 2007 (New York, NY)
• Advisor Summit 2006 – Staying Compliant. November 30 – December 1 (Las Vegas)
• Charles Schwab Institutional – IMPACT 2006 – Regulation, Liability and Protecting Your Practice. November 7, 2006 (Washington, DC)
• 9th Annual Financial Advisor Symposium – Fiduciary Issues and Liability. September 25 – 27, 2006 (Chicago, IL)
• National Association of Active Investment Managers (NAAIM) – Regulatory Compliance for Active Asset Allocators. May 1 – 3, 2006 (Phoenix, AZ)
• Financial Planning Association (FPA), Northern California Chapter – Protecting Your Practice in an Ever-Increasing Regulatory Minefield. April 3 – 4, 2006 (San Francisco, CA)
• Financial Planning Association (FPA), Denver Chapter – Protecting Your Practice: How to Avoid Regulatory Enforcement and Client Litigation/Arbitration Proceedings. February 10, 2006 (Denver, CO)
• TD Ameritrade National Conference – How to Protect Your Practice from Regulatory Enforcement Proceedings, Client Litigation and Departing Employees. February 1 – 3, 2006 (Orlando, FL)
• Schwab Institutional New York Metro Regional Conference – Current Regulatory Hot Topics. January 19, 2006 (New York, NY)
• Fortigent Annual Conference – Protecting Your Practice: How to Avoid Regulatory Enforcement and Client Litigation/Arbitration Proceedings. January 12 – 13, 2006 (Las Vegas, NV)
• The Investment Advisor Wealth Advisor Summit – Advisor Compliance Roundtable. December 2, 2005 (W. Palm Beach, FL)
• Financial Planning Association (FPA) Webinar – Protect Your Practice When Adding New Partners. October 25, 2005
• Charles Schwab Institutional – IMPACT 2005 – Hedge Fund Legal and Regulatory Issues and What They Mean for Your Clients. September 25, 2005 (Seattle, WA)
• Financial Planning Association (FPA), DFW Chapter – How to Protect Your Investment Advisory Practice in the Current Regulatory Environment. July 19, 2005 (Dallas, TX)
• National Association of Active Investment Managers (formerly Society of Asset Allocators and Fund Timers, Inc. SAAFTI) – Advertising Regulations for Investment Managers . February 2005 (St. Louis, MO)
• The National Association of Active Investment Managers – Uncommon Knowledge 2005 – Compliance Hot Spots. April 25, 2005 (Houston, TX)

Recent Authored Articles

• More States Adopt Advisor CE Requirements. ThinkAdvisor. September 5, 2022
• How to Avoid Trouble With Ethics Codes, Nonpublic Information. ThinkAdvisor. June 23, 2022.
• Solicitor Agreements Key to CPA, Wealth Adviser Team Ups. Pennsylvania CPA Journal, Summer 2022.
• Successfully Navigating an SEC Exam in the Current Regulatory Environment. NAPFA Advisor, December 2019.
• Serving as Member of a Private Company Board of Directors. com, June 6, 2019
• Regulatory/Legislative Issues: Your Fees and the Regulators. NAPEA Advisor, September 2017
• Do You Need to File Form 13F? CompliancE-News, August 2013.
• An Overview of External Transition Planning for the Registered Investment Advisor. Charles Schwab Institutional Compliance Review, July 2009
• An Overview of Internal Succession Planning for the Registered Investment Advisor. Charles Schwab Institutional Compliance Review, June 2009
• So You Think Your Marketing Practices Are Compliant? IMCA The Monitor, May/June 2007
• Thinking of Leaving your Brokerage Firm And Going Solo? Make Sure You Know Your Rights. TD Ameritrade Institutional Transition News, March 2007
• An Overview of Internal Transition Planning for the Registered Investment Adviser. Charles Schwab Institutional Compliance Review, October 2005
• An Overview of External Transition Planning for the Registered Investment Adviser. Charles Schwab Institutional Compliance Review, September 2005
• Establishing an Email Policy as Part of New Required Rule 206(4)-7 Written Policies and Procedures. Merrill Lynch Money Manager Services Newsletter, Second Quarter 2004
• Contingency Planning And Rule 206(4)-7. Financial Advisor Magazine, October 2004

Select Interviews / Commentary

• Tom Giachetti warns at Gladstone event in Philly about ‘one bad exam’ as dealmakers get SEC reality check amid reset M&A aspirations. RIABiz. May 9, 2022
• Clause for Concern. Inside Information. March 2022.
• SEC Waging Enforcement ‘War’ on Advisors: Giachetti. ThinkAdvisor, October 4, 2016.
• When Should You Publicize AUA Over AUM? Financial Advisor IQ, August 11, 2016.
• What advisers can expect from an SEC exam. InvestmentNews, March 13, 2016.
• Tom Giachetti’s 10 Blunt Compliance Warnings. com. November 30, 2012.
• Fund Lawyer: CCOs Must Be More Vigilant. com. March 13, 2012.
• Regulation for Regulation Sake Not the Answer for Advisors. com. February 3, 2011.
• At TD Ameritrade Conference, Differing Views on Implementing Fiduciary Standard. com. February 3, 2011.
• SEC’s New Form ADV Requirements: Fidelity Offers Guidance. com. December 2010
• Simple, Not Simplistic. Investment Advisor Magazine. May 2010.
• They’re Watching You. Registered Rep. Magazine. June 2007.
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