Regulate THIS!
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.
Listen on:
Episodes
23 minutes ago
23 minutes ago
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.
Friday Feb 20, 2026
Friday Feb 20, 2026
Amber Davis joins Regulate THIS! to talk about what actually happens during compliance testing—and what she finds when firms think they're compliant but really aren't. From email supervision gaps to advertising violations hiding in plain sight, Amber's seen it all.
Learn what gets missed, why it matters, and how thorough testing protects your firm BEFORE regulators show up asking questions.
Thursday Feb 05, 2026
Thursday Feb 05, 2026
Welcome back to another season of Regulate THIS! A RIA-ly Unfiltered Podcast.Join Tracie Behr & Leila Shaver as they share what's on the horizons for this podcast, along with some top business tips for starting out the year.
Are you ready?
Monday Jan 05, 2026
Monday Jan 05, 2026
Thank you to everyone who has listened to Regulate THIS! in 2025.As we plan out our 2026 content we can't wait to dive into even more unfiltered podcasts.Are you ready?
Thursday Dec 11, 2025
Thursday Dec 11, 2025
Don't wait until it's too late. Work smarter NOT harder.
On today's episode, join Tracie Behr and Leila Shaver as their dive into the world of succession planning.
Thursday Nov 27, 2025
Thursday Nov 27, 2025
Enjoy some silliness from Leila Shaver & Tracie Behr, have a happy and safe Thanksgiving.Back to our regular content in 2 weeks!!
Friday Nov 14, 2025
Friday Nov 14, 2025
Are we becoming too dependent on artificial intelligence?
In this episode of Regulate THIS!, we tackle a question that's on every compliance professional's mind: Is AI making us smarter or just making us lazy?
Let's be real — AI tools are everywhere now. From drafting compliance documents to analyzing regulatory updates, artificial intelligence promises to revolutionize how we handle compliance. But here's the catch: if you're using AI without understanding the rules yourself, you're playing with fire.
Thursday Oct 30, 2025
Thursday Oct 30, 2025
🍬 TRICK OR TREAT?
TRICK: Thinking you can skip compliance training.
TREAT: My RIA Lawyer has Compliance training covered with Compliance University!!
Have a happy & safe Halloween, and if you need us, you know where to find us!
https://www.myrialawyer.com/ria-compliance-university/
Friday Oct 17, 2025
Friday Oct 17, 2025
Let's talk about the stuff nobody wants to deal with until it blows up in their face: HR compliance.
Hosts Leila and Tracie from My RIA Lawyer are getting real about employment contracts, non-competes, firing people without getting sued, and all the messy workplace drama that financial firm owners pretend isn't a compliance issue (spoiler alert: it absolutely is).
From hiring your first advisor to navigating the inevitable "this person needs to go" conversation, Leila and Tracie break down how to build HR practices that actually protect your firm. No legal jargon. No corporate BS. Just straight talk about handling the people side of running your business.
Stop guessing. Start protecting yourself. Give this episode a listen.
Friday Oct 03, 2025
Friday Oct 03, 2025
Buckle up for Episode 1 or Season 3 of "Regulate THIS!" as Leila Shaver dives into the most cringe-worthy compliance horror stories from the RIA world. Whether you're a seasoned CCO or just launched your RIA, these true stories will help you sleep better at night knowing what NOT to do in your compliance journey. Because in the RIA world, it's not just about what you know—it's about learning from others' expensive mistakes before they become your own.
Available now on all podcast platforms. Don't become our next horror story! 🎙️