Compliance plays a critical role in financial services, but keeping up with regulations from the SEC, FINRA, and individual states can be overwhelming. How do you ensure that you’re interpreting them correctly? Do you have processes in place to protect your clients and team? Are you prepared if you get audited? Leila Shaver, founder of My RIA Lawyer, joins Catherine Williams, Dimensional’s Head of Practice Management, to discuss compliance concerns and regulatory changes you can prepare for now.
Managing Your Practice