Regulate THIS!

regulate this
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Welcome to Regulate THIS! a RIA-ly Unfiltered Podcast. Hosted by industry legend Leila Shaver, founder of My RIA Lawyer and Business Guru Tracie Behr. Join Leila and Tracie as they dive deep into the world of Registered Investment Advisors (RIAs), exploring the challenges, triumphs, and real stories behind the scenes. ”Regulate THIS!” provides a candid and insightful look at the RIA landscape, empowering listeners to navigate the complexities of regulation with confidence. Tune in for honest conversations and actionable insights that will transform the way you think about compliance and regulation in the financial advisory space.

  1. 4 天前

    Now What?

    Have you just launched your RIA? Wondering what you are missing?   Join Tracie & Leila in this part 2 episode of Regulate This! where they finish off the discussion of " you don't know what you don't know".

    17 分鐘

  2. 6月19日

    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, compliance, hiring, firing and everything in-between!

    22 分鐘

  3. 5月15日

    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 this episode of Regulate THIS!, Leila and Tracie sit down with Paul Winkler — founder of Paul Winkler, Inc., SEC-registered RIA, multi-degreed scholar, licensed therapist, rock musician, and one of the few advisors out there who actually gets it. Paul shares the unfiltered truth about how he built a multi-office firm from the ground up, why hustle without heart will get you nowhere, and the marketing philosophy that took him from selling ad slots on a big band radio station to a thriving practice with clients who treat him like family. We get into: Why "teach, don't sell" is the most underrated growth strategy in financial services The mindset shift that turns prospecting fear into client magnetism How systems (not hustle) actually scale a firm Why compliance isn't a sales killer — it's a credibility builder The E-Myth principle every RIA owner needs to hear before they burn out Paul also shares the moment a mentor told him "you're a teacher — teach" and changed the entire trajectory of his business. If you've ever wondered whether you have what it takes to build something real in this industry, this one's for you.

    37 分鐘
  4. Does Your CCO Know What They're Doing?? Part-2

    5月1日

    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 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?".

    27 分鐘
  5. Does Your CCO Know What They're Doing?? Part-1

    4月17日

    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 regulators show up, you'll find out exactly what your CCO knows (or doesn't).

    25 分鐘
  6. Beyond Checkbox Compliance- Pt.2 with Kenji Kawa

    4月3日

    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.

    25 分鐘
  7. Beyond Checkbox Compliance Pt.1 - with guest Kenji Kawa

    3月20日

    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 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!

    25 分鐘
  8. You Don't Know What You Don't Know - With Guest Michaela

    3月6日

    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 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.

    42 分鐘
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簡介

Welcome to Regulate THIS! a RIA-ly Unfiltered Podcast. Hosted by industry legend Leila Shaver, founder of My RIA Lawyer and Business Guru Tracie Behr. Join Leila and Tracie as they dive deep into the world of Registered Investment Advisors (RIAs), exploring the challenges, triumphs, and real stories behind the scenes. ”Regulate THIS!” provides a candid and insightful look at the RIA landscape, empowering listeners to navigate the complexities of regulation with confidence. Tune in for honest conversations and actionable insights that will transform the way you think about compliance and regulation in the financial advisory space.

資訊

  • 創作者
    regulate this
  • 活躍年代
    2025年 - 2026年
  • 集數
    34
  • 年齡分級
    兒少不宜
  • 版權
    © Copyright 2025 All rights reserved.
  • 節目網站
    Regulate THIS!