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Are you a financial 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.
Related: How Financial Advisors Can Hire the Right People for Their Firm