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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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Avsnitt

35 avsnitt

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