Regulate THIS!

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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Episodis

35 episodis

SEC Exam Preparation: Proving Your Compliance Program Works fa 3 setmanes 32:29
Now What? fa 4 mesos 16:30
You Don't Know What You Don't Know fa 5 mesos 22:12
Stop Selling & Start Showing Up fa 6 mesos 36:44
Does Your CCO Know What They're Doing?? Part-2 fa 6 mesos 27:10
Does Your CCO Know What They're Doing?? Part-1 fa 7 mesos 25:14
Beyond Checkbox Compliance- Pt.2 with Kenji Kawa fa 7 mesos 25:15
Beyond Checkbox Compliance Pt.1 - with guest Kenji Kawa fa 8 mesos 25:07
You Don't Know What You Don't Know - With Guest Michaela fa 8 mesos 42:00
An RIA-ly Unfiltered Podcast with Guest - Amber Davis fa 9 mesos 33:13
What's Ahead - 2026 Insights fa 9 mesos 24:32
A RIA-ly Unfiltered New Year fa 10 mesos 2:17
Succession Planning fa 1 any 25:59
Regulate THIS! A ReAlLy Silly Podcast fa 1 any 1:29
Is AI Making Us Dumb? fa 1 any 28:04
Trick or Treat?! fa 1 any 1:04
Human Resources fa 1 any 37:06
Welcome to Season 3 - Horror Stories fa 1 any 29:11
Get Ready For Season 3 Of Regulate THIS! fa 1 any 0:46
Business Planning 101 fa 1 any 39:51
Referrals Done Right fa 1 any 27:48
How to Win Millennials and Gen Zs fa 1 any 31:35
Dealing with Complaints Like a Pro fa 1 any 29:49
Talking Clients Off the Ledge fa 1 any 30:35
The Art of the Client Experience fa 1 any 39:45
Goodbye Season 1 - Hello Season 2 fa 1 any 0:39
HOT TOPICS🔥First 100 Days Of A New Administration fa 1 any 23:17
The Compliance Tech Toolbox fa 2 anys 38:53
Reg BI vs. Fiduciary: The Ultimate Showdown fa 2 anys 29:56
Compliance Is Sexy fa 2 anys 26:11
Cyber Issues fa 2 anys 31:22
Are You Leaving Money On The Table? fa 2 anys 20:44
Off-Channel Communications- We Know You're Doing It fa 2 anys 29:06
Take This Seriously - SEC Exams fa 2 anys 34:31
Regulate THIS! A RIA-ly Unfiltered Podcast fa 2 anys 1:34