November 2017 Newsletter
Click the link above to access our newsletter. Be sure to sign up to get all of My RIA Lawyer’s newsletters delivered straight to your inbox. This month we discuss the new Form ADV changes and making the 4th quarter the time to review your compliance program. Annual reviews of your compliance program are required. We also discuss the pitfalls of using a “compliance-in-a-box” type of compliance provider.
Author Bio
Leila Shaver is the Founder of My RIA Lawyer, a law firm that provides compliance and legal consulting for financial institutions. With extensive experience as a securities attorney and compliance expert, she has served as Chief Compliance Officer and General Counsel to RIAs, BDs, and TAMPs with billions in assets under management.
Leila understands the challenges RIAs face and is committed to helping RIAs streamline their processes, mitigate risks, and ensure compliance with regulatory requirements. She received her Juris Doctor from Atlanta’s John Marshall Law School and is a West Georgia Young Lawyers’ Association member. Leila has received numerous accolades for her work, including the Carroll County Bar Association’s Outstanding Young Lawyer Award in 2017.