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RIA

Leila Shaver — SEC exam preparation for RIAs and the first 48 hours of an examination

What an SEC Examiner Can Learn in the First 48 Hours of an Examination

What can an SEC examiner learn early in an RIA examination? Explore how records, oversight, and...
Leila Shaver — RIA compliance testing, oversight, and recurring findings

Testing Is Not the Same as Oversight: Why RIA Compliance Findings Keep Reappearing

Recurring RIA compliance findings can reveal gaps in ownership, remediation, and retesting. Learn...
Leila Shaver — scaling an RIA compliance program from $300M to $1B

The Compliance Program You Built at $300M May Not Work at $1B

Has your RIA outgrown its compliance program? Explore how acquisitions, new offices, and growth...
Leila Shaver — RIA CCO key-person risk and compliance continuity

If Your CCO Disappeared for 30 Days, What Would Stop? A Key-Person Risk Test for Growing RIAs

If your CCO disappeared for 30 days, would your compliance program continue operating—or stall? A...

Understanding Your Role as CCO (And When to Outsource It)

The Chief Compliance Officer title carries more weight than most people realize when they take it...
can you spot a deepfake

The CIP Rule Is Coming—And Deepfakes Are Why RIAs Can’t Afford to Wait

A finance employee in Hong Kong joined what seemed like a routine video call with her CFO and...

How to Conduct an Effective RIA Annual Compliance Meeting

Let’s be honest: most RIAs treat their annual compliance meeting like a painful obligation....
form u4 filing

One Form U4 Filing Mistake Could End Your Career—Here’s How to Avoid It

Getting licensed as a financial advisor? Then you’re about to meet Form U4. And here’s...
written-supervisory-procedures

Written Supervisory Procedures: Why Checklists Aren’t Enough

Here’s a hard truth about compliance: ticking boxes isn’t going to save your firm. If...