HOT TOPICS🔥First 100 Days Of A New Administration
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.
9 Touko 202523min
The Compliance Tech Toolbox
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.
1 Touko 202538min
Reg BI vs. Fiduciary: The Ultimate Showdown
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.
25 Huhti 202529min
Compliance Is Sexy
" 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 e...
18 Huhti 202526min
Cyber Issues
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 q...
11 Huhti 202531min
Are You Leaving Money On The Table?
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...
4 Huhti 202520min
Off-Channel Communications- We Know You're Doing It
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 pro...
28 Maalis 202529min
Take This Seriously - SEC Exams
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...
21 Maalis 202534min
