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