Compliance Nerd Videos
Keeping up with RIA compliance can be a never-ending task. Our compliance nerd, Leila Shaver, shares insights and advice in a series of informative videos. From breaking down the latest regulatory changes to providing practical tips for streamlining your firm’s compliance processes, our video library is your go-to resource for staying ahead of the curve.
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Compliance Is Sexy

Cyber Issues

The Next Sexy Thing To Do - Buy A Book Of Business // #myrialawyer

Are You Leaving Money On The Table?

Does Your CCO Push Back? // #myrialawyer

Be Careful!! ✨SEC Audits✨ // #myrialawyer

Off-Channel Communications- We Know You're Doing It

Do You Have Time To Train Your CCO? // #myrialawyer

That Is Not Fact!! ✨SEC Audits✨// #myrialawyer

💼Buying a Book of Business? Let’s Talk Strategy! 📚 // #myrialawyer

Take This Seriously - SEC Exams- Episode 2

Regulate THIS! A RIA-ly Unfiltered Podcast // #myrialawyer

🚨The 411 on FINRA Outside Business Activities🤔 // #myrialawyer

Regulate THIS! A RIA-ly Unfiltered Podcast - Coming Soon

🚫The Problem with Traditional Compliance Training: Why It’s Failing Us! 🚫 // #myrialawyer
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