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).

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).

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!

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.

Amber Davis joins Regulate THIS! to talk about what actually happens during compliance testing—and what she finds when firms think they're compliant but really aren't. From email supervision gaps to advertising violations hiding in plain sight, Amber's seen it all.

Learn what gets missed, why it matters, and how thorough testing protects your firm BEFORE regulators show up asking questions.

Welcome back to another season of Regulate THIS! A RIA-ly Unfiltered Podcast.

Are you ready?

Thank you to everyone who has listened to Regulate THIS! in 2025.

Don't wait until it's too late. Work smarter NOT harder.

On today's episode, join Tracie Behr and Leila Shaver as their dive into the world of succession planning.

Enjoy some silliness from Leila Shaver & Tracie Behr, have a happy and safe Thanksgiving.