Episode 234 –Stop Viewing Compliance as Your Business-Prevention Department –– With Leila Shaver

Are you an advisor who feels nervous about compliance? Join the club. You might even want to start a podcast, but you’re worried about navigating compliance’s requirements.

In this episode, Matt speaks with Leila Shaver, owner and managing partner of My RIA Lawyer. Leila takes a deep look into compliance as it relates to risk profiles, podcasting, testimonials, and more.

In this episode, you will learn:  

• How to better understand compliance
• What you can do to potentially improve your risk profile
• How compliance involvement differs between RIAs versus FINRA
• Answers to aspiring podcasters’ most common compliance concerns 
• What the benefits are of becoming an RIA
• And more!

Tune in now to hear the answers to your compliance concerns. 

Resources  Top Advisor Marketing | My RIA Lawyer | (770) 462-2118  

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