Regulate THIS!

Join Tracie & Leila for a "Hot Topics" episode, where we dive into topics that are happening right now! In todays episode we are diving into the first 100 days of the new administration.

Join Tracie Behr and Leila Shaver as they deep dive into "The Compliance Tech Toolbox", your guide to tech tools that streamline compliance and boost efficiency.

Join Leila Shaver & Tracie Behr as they go through the basics on Reg BI and Fiduciary and answer your compliance questions. Remember, good compliance IS good business.  

" It seems like repetitive work"..... Yes. It is. We get it, Compliance can be a lot. But it is an essential part of your business. So take your head out of the sand, and get ready to learn from the experts on today's episode- Compliance Is Sexy.

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! In todays episode we tackle... Cyber Issues!

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...

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 con...

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!