<p>Compliance plays a critical role in financial services, but keeping up with regulations from the SEC, FINRA, and individual states can be overwhelming. How do you ensure that you’re interpreting them correctly? Do you have processes in place to protect your clients and team? Are you prepared if you get audited? Leila Shaver, founder of My RIA Lawyer, joins Catherine Williams, Dimensional’s Head of Practice Management, to discuss compliance concerns and regulatory changes you can prepare for now.</p>

Compliance plays a critical role in financial services, but keeping up with regulations from the SEC, FINRA, and individual states can be overwhelming. How do you ensure that you’re interpreting them correctly? Do you have processes in place to protect your clients and team? Are you prepared if you get audited? Leila Shaver, founder of My RIA Lawyer, joins Catherine Williams, Dimensional’s Head of Practice Management, to discuss compliance concerns and regulatory changes you can prepare for now.

Tips for Navigating the Compliance and Regulatory Landscape in 2022

Managing Your Practice is dedicated to providing financial professionals with best practices in key areas such as driving growth, business efficiency, and the client experience. Dimensional Fund Advisors delivers insights based on our history of industry-leading financial advisor benchmark studies and client surveys. We help advisors leverage those insights when making the critical business decisions successful firms face every day.

The information is provided in good faith without any warranty and is intended for informational purposes only. It does not constitute investment advice, recommendation, or an offer of any services or products for sale and is not intended to provide a sufficient basis on which to make an investment decision. 
All expressions of opinion are subject to change. 
Dimensional Fund Advisors LP is an investment advisor registered with the Securities and Exchange Commission.

Business

Entrepreneurship

Management

Managing Your Practice is dedicated to providing financial professionals with best practices in key areas such as driving growth, business efficiency, and the client experience. Dimensional Fund Advisors delivers insights based on our history of industry-leading financial advisor benchmark studies and client surveys. We help advisors leverage those insights when making the critical business decisions successful firms face every day. The information is provided in good faith without any warranty and is intended for informational purposes only. It does not constitute investment advice, recommendation, or an offer of any services or products for sale and is not intended to provide a sufficient basis on which to make an investment decision. All expressions of opinion are subject to change. Dimensional Fund Advisors LP is an investment advisor registered with the Securities and Exchange Commission.

Share Tips for Navigating the Compliance and Regulatory Landscape in 2022

Sign up to save your podcasts

Tips for Navigating the Compliance and Regulatory Landscape in 2022

Tips for Navigating the Compliance and Regulatory Landscape in 2022

More shows like Managing Your Practice

Masters in Business

Craig Groeschel Leadership Podcast

The Diary Of A CEO with Steven Bartlett

Animal Spirits Podcast

The Perfect RIA

The Rational Reminder Podcast

The Compound and Friends

The Long View

Kitces and Carl - Real Talk for Real Financial Advisors

All-In with Chamath, Jason, Sacks & Friedberg

Barron's Streetwise

Barron's Advisor

Alt Goes Mainstream: The Latest on Alternative Investments, WealthTech, & Private Markets

The Efficient Advisor: Tactical Business Advice for Financial Planners

TRAP: The Real Adviser Podcast