Enroll in Compliance U now! Secure your spot now. Learn More
Menu
Call
Contact
Blog

Blog

Leila Shaver — RIA conflicts of interest and compliance oversight beyond Form ADV

Disclosure Is Not a Conflicts Program: What Growing RIAs Need Beyond Form ADV

An RIA introduces a new compensation arrangement, adds an affiliated service, or acquires a firm...
Leila Shaver — RIA employee offboarding and compliance controls after an adviser leaves

RIA Employee Offboarding: The Compliance Controls That Matter After an Adviser Leaves

RIA employee offboarding involves access removal, record preservation, client continuity, and...
Leila Shaver — SEC document requests and RIA compliance evidence

What an SEC Request List Really Tests: Can Your RIA Produce the Evidence?

Prepare for SEC document requests by examining whether your RIA’s records substantiate compliance...
Leila Shaver — SEC exam preparation for RIAs and the first 48 hours of an examination

What an SEC Examiner Can Learn in the First 48 Hours of an Examination

What can an SEC examiner learn early in an RIA examination? Explore how records, oversight, and...
Leila Shaver — RIA compliance testing, oversight, and recurring findings

Testing Is Not the Same as Oversight: Why RIA Compliance Findings Keep Reappearing

Recurring RIA compliance findings can reveal gaps in ownership, remediation, and retesting. Learn...
Leila Shaver — scaling an RIA compliance program from $300M to $1B

The Compliance Program You Built at $300M May Not Work at $1B

Has your RIA outgrown its compliance program? Explore how acquisitions, new offices, and growth...
Leila Shaver — RIA CCO key-person risk and compliance continuity

If Your CCO Disappeared for 30 Days, What Would Stop? A Key-Person Risk Test for Growing RIAs

If your CCO disappeared for 30 days, would your compliance program continue operating—or stall? A...

5 Signs Your RIA’s Compliance Program Is Failing (And How to Fix It)

Most RIAs do not discover their compliance program has serious gaps during a routine internal...

Understanding Your Role as CCO (And When to Outsource It)

The Chief Compliance Officer title carries more weight than most people realize when they take it...