Regulate THIS!
Podcast Description
Welcome to Regulate THIS! a RIA-ly Unfiltered Podcast. Hosted by industry legend Leila Shaver, founder of My RIA Lawyer and Business Guru Tracie Behr.
Join Leila and Tracie as they dive deep into the world of Registered Investment Advisors (RIAs), exploring the challenges, triumphs, and real stories behind the scenes. ”Regulate THIS!” provides a candid and insightful look at the RIA landscape, empowering listeners to navigate the complexities of regulation with confidence.
Tune in for honest conversations and actionable insights that will transform the way you think about compliance and regulation in the financial advisory space.
Podcast Insights
Content Themes
The podcast focuses on topics pertinent to Registered Investment Advisors, including regulatory compliance, SEC examinations, and off-channel communications. Episodes like Off-Channel Communications highlight the importance of archiving messages, while episodes like Take This Seriously - SEC Exams provide listeners with essential information on preparing for audits to reduce anxiety and enhance compliance.
Welcome to Regulate THIS! a RIA-ly Unfiltered Podcast. Hosted by industry legend Leila Shaver, founder of My RIA Lawyer and Business Guru Tracie Behr.
Join Leila and Tracie as they dive deep into the world of Registered Investment Advisors (RIAs), exploring the challenges, triumphs, and real stories behind the scenes. ”Regulate THIS!” provides a candid and insightful look at the RIA landscape, empowering listeners to navigate the complexities of regulation with confidence.
Tune in for honest conversations and actionable insights that will transform the way you think about compliance and regulation in the financial advisory space.
Think your firm’s compliance is “basic”? Think again. 👀
In this episode, Leila and Tracie sit down with compliance officer Michaela — who started at the firm as an admin for all of three hours before being promoted — to break down the compliance mistakes that even experienced professionals are getting wrong.
From inconsistent documentation and copy-pasted client agreements to overloaded superstars and the dangerous over-reliance on ChatGPT, Michaela brings a refreshingly honest, ground-level perspective on what it actually takes to build a solid compliance foundation.
Whether you’re a solo RIA, a growing firm, or a CCO who’s been winging it — this one’s for you.
Disclaimer
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