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.
1
/
10
(Part 2) Exiting Your Business?// #myrialawyer
Coffee!! SEC Charges!! Violations!!// #myrialawyer
Enroll in Compliance-University TODAY // #myrialawyer
What's Your Plan?? // #myrialawyer
(Part 1) Exiting Your Business? // #myrialawyer
It's Simple - Make A Plan // #myrialawyer
Are You Prepared For 2025? // #myrialawyer
Q&A What If My Client Uses Not Approved Channels For Communication? // #myrialawyer
Q&A What Does The SEC Say About Marketing? // #myrialawyer
Q&A How Do I Stay Compliant On Social Media? // #myrialawyer
Q&A Am I Liable For What's Posted Online?? // #myrialawyer
Compliance Strategies IRA's Can Use To Maintain Your Reputation // #myrialawyer
Happy Thanksgiving From My RIA Lawyer// #myrialawyer
INTERESTING Rule Update // #myrialawyer
Looking To Get Flexible?? // #myrialawyer
1
/
10
