You Don't Know What You Don't Know
Tune into this series of Regulate THIS! Where Tracie & Leila take a deep dive into starting your business. You don't want to miss out, these ladies will guide you on all the in's and out's of business...
19 Kesä 22min
Stop Selling & Start Showing Up
Paul Winkler started out so broke he "couldn't pay attention" (his words, not ours) — and built one of Nashville's most respected RIAs by doing the one thing nobody else was willing to do: teach. In t...
15 Touko 36min
Does Your CCO Know What They're Doing?? Part-2
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 regulato...
1 Touko 27min
Does Your CCO Know What They're Doing?? Part-1
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 regulato...
17 Huhti 25min
Beyond Checkbox Compliance- Pt.2 with Kenji Kawa
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.
3 Huhti 25min
Beyond Checkbox Compliance Pt.1 - with guest Kenji Kawa
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 ACT...
20 Maalis 25min
You Don't Know What You Don't Know - With Guest Michaela
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...
6 Maalis 42min
An RIA-ly Unfiltered Podcast with Guest - Amber Davis
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 a...
20 Helmi 33min
