Regulate THIS!

Are You Leaving Money On The Table?... yes, you are!!Let's talk about fees, how you should be assessing your fees and everything in between.Join Leila Shaver & Tracie Behr as they talk through all things compliance & business.

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.

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.

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!