Regulate THIS!

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.

Are we becoming too dependent on artificial intelligence?

In this episode of Regulate THIS!, we tackle a question that's on every compliance professional's mind: Is AI making us smarter or just making us lazy?

Let's be real — AI tools are everywhere now. From drafting compliance documents to analyzing regulatory updates, artificial intelligence promises to revolutionize how we handle compliance. But here's the catch: if you're using AI without understanding the rules yourself, you're playing with fire.

🍬 TRICK OR TREAT?

TRICK: Thinking you can skip compliance training.

TREAT: My RIA Lawyer has Compliance training covered with Compliance University!!

Have a happy & safe Halloween, and if you need us, you know where to find us!

https://www.myrialawyer.com/ria-compliance-university/

Let's talk about the stuff nobody wants to deal with until it blows up in their face: HR compliance.

Hosts Leila and Tracie from My RIA Lawyer are getting real about employment contracts, non-competes, firing people without getting sued, and all the messy workplace drama that financial firm owners pretend isn't a compliance issue (spoiler alert: it absolutely is).

From hiring your first advisor to navigating the inevitable "this person needs to go" conversation, Leila and Tracie break down how to build HR practices that actually protect your firm. No legal jargon. No corporate BS. Just straight talk about handling the people side of running your business.

Stop guessing. Start protecting yourself. Give this episode a listen.

Buckle up for Episode 1 or Season 3 of "Regulate THIS!" as Leila Shaver dives into the most cringe-worthy compliance horror stories from the RIA world.  Whether you're a seasoned CCO or just launched your RIA, these true stories will help you sleep better at night knowing what NOT to do in your compliance journey. Because in the RIA world, it's not just about what you know—it's about learning from others' expensive mistakes before they become your own.

Available now on all podcast platforms. Don't become our next horror story! 🎙️

Thanks so much for joining Leila & Tracie for Season 2 of Regulate THIS!! Tune into Season 3 starting in October. And don't forget to check out My RIA Lawyer's Youtube, Blogs, Compliance University and MORE!

It's that time year again, September is the business planning month. Join Leila & Tracie as they deep dive into what YOU need to do to ensure your business is on track and you have a plan that will grow with you.