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!

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!

What does a former SEC enforcement attorney and Goldman Sachs VP know about regulatory exams that you don't?
&nbsp;




Everything. 🎯
&nbsp;




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!

Beyond Checkbox Compliance Pt.1 - with guest Kenji Kawa

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.

Business

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.

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Beyond Checkbox Compliance Pt.1 - with guest Kenji Kawa

Beyond Checkbox Compliance Pt.1 - with guest Kenji Kawa