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 Juni 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 Maj 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 Maj 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 Apr 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 Apr 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 Mars 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 Mars 42min
