Regulate THIS!

Your CCO's resume looks impressive. But can they actually build a defensible compliance program, navigate an SEC exam, or implement policies that withstand regulatory scrutiny?   Because when regulators show up, you'll find out exactly what your CCO knows (or doesn't). Join Leila & Tracie for part 2 on "Does your CCO know what they are doing?".

Your CCO's resume looks impressive. But can they actually build a defensible compliance program, navigate an SEC exam, or implement policies that withstand regulatory scrutiny?   Because when regulators show up, you'll find out exactly what your CCO knows (or doesn't).

What does a former SEC enforcement turned My RIA Lawyer senior attorney have to say?? Dive into Regulate THIS where Kenji Kawa joins to share what RIA's are getting wrong and right.  

What does a former SEC enforcement attorney and Goldman Sachs VP know about regulatory exams that you don't?   Everything. 🎯   Kenji Kawa joins Regulate THIS! to share what regulators are ACTUALLY looking for when they examine your firm—and why most RIAs get it wrong. Part 1 drops now, and stay tuned for part 2!

Think your firm's compliance is "basic"? Think again. 👀 In this episode, Leila and Tracie sit down with compliance officer Michaela — who started at the firm as an admin for all of three hours before being promoted — to break down the compliance mistakes that even experienced professionals are getting wrong. From inconsistent documentation and copy-pasted client agreements to overloaded superstars and the dangerous over-reliance on ChatGPT, Michaela brings a refreshingly honest, ground-level perspective on what it actually takes to build a solid compliance foundation. Whether you're a solo RIA, a growing firm, or a CCO who's been winging it — this one's for you.

Amber Davis joins Regulate THIS! to talk about what actually happens during compliance testing—and what she finds when firms think they're compliant but really aren't. From email supervision gaps to advertising violations hiding in plain sight, Amber's seen it all. Learn what gets missed, why it matters, and how thorough testing protects your firm BEFORE regulators show up asking questions.

Welcome back to another season of Regulate THIS! A RIA-ly Unfiltered Podcast. Join Tracie Behr & Leila Shaver as they share what's on the horizons for this podcast, along with some top business tips for starting out the year.   Are you ready?

Thank you to everyone who has listened to Regulate THIS! in 2025. As we  plan out our 2026 content we can't wait to dive into even more unfiltered podcasts. Are you ready?

Don't wait until it's too late. Work smarter NOT harder. On today's episode, join Tracie Behr and Leila Shaver as their dive into the world of succession planning.

Enjoy some silliness from Leila Shaver & Tracie Behr, have a happy and safe Thanksgiving. Back to our regular content in 2 weeks!!

Are we becoming too dependent on artificial intelligence? In this episode of Regulate THIS!, we tackle a question that's on every compliance professional's mind: Is AI making us smarter or just making us lazy? Let's be real — AI tools are everywhere now. From drafting compliance documents to analyzing regulatory updates, artificial intelligence promises to revolutionize how we handle compliance. But here's the catch: if you're using AI without understanding the rules yourself, you're playing with fire.

🍬 TRICK OR TREAT? TRICK: Thinking you can skip compliance training. TREAT: My RIA Lawyer has Compliance training covered with Compliance University!! Have a happy & safe Halloween, and if you need us, you know where to find us! https://www.myrialawyer.com/ria-compliance-university/  

Let's talk about the stuff nobody wants to deal with until it blows up in their face: HR compliance. Hosts Leila and Tracie from My RIA Lawyer are getting real about employment contracts, non-competes, firing people without getting sued, and all the messy workplace drama that financial firm owners pretend isn't a compliance issue (spoiler alert: it absolutely is). From hiring your first advisor to navigating the inevitable "this person needs to go" conversation, Leila and Tracie break down how to build HR practices that actually protect your firm. No legal jargon. No corporate BS. Just straight talk about handling the people side of running your business. Stop guessing. Start protecting yourself. Give this episode a listen.

Buckle up for Episode 1 or Season 3 of "Regulate THIS!" as Leila Shaver dives into the most cringe-worthy compliance horror stories from the RIA world.  Whether you're a seasoned CCO or just launched your RIA, these true stories will help you sleep better at night knowing what NOT to do in your compliance journey. Because in the RIA world, it's not just about what you know—it's about learning from others' expensive mistakes before they become your own.   Available now on all podcast platforms. Don't become our next horror story! 🎙️

Thanks so much for joining Leila & Tracie for Season 2 of Regulate THIS!! Tune into Season 3 starting in October. And don't forget to check out My RIA Lawyer's Youtube, Blogs, Compliance University and MORE!

It's that time year again, September is the business planning month. Join Leila & Tracie as they deep dive into what YOU need to do to ensure your business is on track and you have a plan that will grow with you.

Join Tracie and Leila as they discuss practical and fun ways to grow your business through word-of-mouth.

Join Tracie & Leila as they chat about creative ways to appeal to younger clients without feeling out of touch.

Join Tracie and Leila as they set you on the right path for turning complaints into opportunities for stronger relationships with your clients.

Let's join Tracie & Leila as they jump into psychology-backed strategies for handling market turbulence.

Join Leila & Tracie as we dive into season two of Regulate THIS! Today's episode includes tips to wow your clients, even in tough times. Learn quality tactics from the industry leaders on how to take care of your clients and even gain MORE clients!

That's a wrap on Season 1 of "Regulate THIS"! We want to extend our sincere thanks to all our listeners who joined us as we navigated the complex and often surprising world of regulations across industries. Your support, feedback, and engagement have made this first season an incredible journey. But we're just getting started. Mark your calendars because "Regulate THIS" returns with Season 2 on June 6th!

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 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!