Tips for Navigating the Compliance and Regulatory Landscape in 2022

from Managing Your Practice · host Dimensional Fund Advisors

Compliance plays a critical role in financial services, but keeping up with regulations from the SEC, FINRA, and individual states can be overwhelming. How do you ensure that you're interpreting them correctly? Do you have processes in place to protect your clients and team? Are you prepared if you get audited? Leila Shaver, founder of My RIA Lawyer, joins Catherine Williams, Dimensional's Head of Practice Management, to discuss compliance concerns and regulatory changes you can prepare for now.

Episode metadata supplied by the publisher feed · Published Jan 19, 2022

Embed this episode

Attribution link and audio player

NOW PLAYING

Tips for Navigating the Compliance and Regulatory Landscape in 2022

0:00 46:08

1×

No transcript for this episode yet

We transcribe on demand. Request one and we'll notify you when it's ready — usually under 10 minutes.

Share this episode

Similar Episodes

No similar episodes found.

Similar Podcasts

Wild WinsDay Wild WinsDay Pump the hump with WILD WINSday 🐪💪: Your 3-minute weekly video boost for leadership, sales, marketing, and business breakthroughs to WIN the day!

Frequently Asked Questions

How long is this episode of Managing Your Practice?

This episode is 46 minutes long.

When was this Managing Your Practice episode published?

This episode was published on January 19, 2022.

Can I download this Managing Your Practice episode?

Yes. Use the download control on the episode player to save the publisher-provided media file.

URL copied to clipboard!