As advisory corporations develop, so does the complexity of compliance—and Leila Shaver has constructed a enterprise devoted to serving to them scale with out expensive missteps. She supplies strategic steerage that retains corporations aligned with regulatory expectations as their groups, consumer bases, and duties broaden.
Leila is the founding father of My RIA Lawyer, a Georgia-based authorized and compliance agency serving RIAs, broker-dealers, and different monetary companies firms. On this episode, she shares insights into when corporations sometimes search outsourced compliance help, the important thing variations between broker-dealer oversight and RIA regulation, and why corporations may contemplate together with their compliance professionals in enterprise technique enterprise technique selections. You may additionally hear in regards to the newest developments in advisor-facing compliance know-how and the way Leila’s personal entrepreneurial journey mirrors that of the shoppers she serves.
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