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.
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Episodes
3 days ago
3 days ago
Join Leila & Tracie as they talk about the critical issue of off-channel communications, specifically text messaging, in the financial advisory industry.
They emphasize the growing importance of properly archiving and supervising all business communications, regardless of the platform.
Financial firms must evolve with technology, implement robust communication monitoring systems, and view compliance as a critical business function that protects both the organization and its clients.
Thursday Mar 20, 2025
Thursday Mar 20, 2025
Welcome to Regulate THIS! In this episode, we (Laila Shaver and Tracie Bear) tackle the topic of SEC exams - something many advisors dread but shouldn't have to fear if they're doing things right. We break down what happens during these audits, why they matter, and how to prepare for them without losing sleep.
We discuss the crucial role of a qualified Chief Compliance Officer and the pros and cons of in-house versus outsourced compliance solutions. Through real-world examples from our experience working with financial advisors, we explain the audit process, common triggers for regulatory review, and why documentation is your best friend.
Remember: if you're following the rules and documenting your work properly, you've already got a head start. Our mantra is "good compliance is good business" - it protects your firm, your clients, and ultimately your livelihood. So grab your pen and paper (or hit record) as we share insider tips on navigating SEC exams with confidence rather than fear.
Friday Mar 07, 2025
Friday Mar 07, 2025
Welcome to Regulate THIS! A RIA-ly Unfiltered Podcast.
Join Leila and Tracie as they dive into the world of Compliance and all things Business.
Get an unfiltered look that you deserve, and have your questions answered!