The Compliance Tech Toolbox Regulate THIS! podcast

39:45

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!

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Goodbye Season 1 - Hello Season 2 0:39

4 weeks ago0:39

0:39

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!…

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HOT TOPICS🔥First 100 Days Of A New Administration 23:17

5 weeks ago23:17

23:17

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.

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The Compliance Tech Toolbox 38:53

6 weeks ago38:53

38:53

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.

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Reg BI vs. Fiduciary: The Ultimate Showdown 29:56

7 weeks ago29:56

29:56

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.

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Compliance Is Sexy 26:11

8 weeks ago26:11

26:11

" 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.

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Cyber Issues 31:22

9 weeks ago31:22

31:22

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!

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Are You Leaving Money On The Table? 20:44

10 weeks ago20:44

20:44

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.

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Off-Channel Communications- We Know You're Doing It 29:06

11 weeks ago29:06

29:06

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.…

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Take This Seriously - SEC Exams 34:31

12 weeks ago34:31

34:31

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.…

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Regulate THIS! A RIA-ly Unfiltered Podcast 1:34

14 weeks ago1:34