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You work hard to grow your business and create the life of your dreams. Now you need to protect it. We are attorneys focused exclusively on protecting the businesses and lifestyles of financial advisers from abusive regulators. It is our passion and sole niche. Located in Atlanta near SunTrust Park, we represent clients throughout the United States. We provide services to serve your firm- from RIA registration to ongoing compliance services to legal defense against client complaints and regulatory actions. Choosing An Experienced RIA Lawyer Is A Wise Decision My RIA Lawyer has a proven record of protecting financial advisers by helping them create strong compliance systems and empowering them to fight back when regulators threaten their business and livelihood. We are ready to support your business so that you can focus on the best use of your time- helping as many investors as possible. Personal attention is central to our mission. Our goal is to keep nosy regulators out of your business and out of your wallet. When we aren’t helping firms avoid regulators by putting in place robust compliance systems, we are vigorously defending them against client and regulatory actions.
External link for My RIA Lawyer
44 Milton Avenue
#314
Alpharetta, Georgia 30009, US
Are you an owner of an RIA? Are you afraid of cybersecurity, or lack thereof, in your firm? And how someone could expose you and all of your client's data? The good news is, there is help for you!! https://lnkd.in/e6PWCsyU
Let's Chat - What Workshop Would You ACTUALLY Attend? 👉 We want YOUR input! 👈 Would you be interested in attending a... • Compliance Manuals Workshop? • Succession Planning Workshop? • Business Continuity Workshop? Or are you craving something else entirely? And the BIG QUESTION - would you prefer an online session or an in-person workshop? Or would you consider hiring Leila to come onsite and lead the workshop at your firm? We're all ears! Let us know what kind of professional development opportunities would be most valuable and relevant for you and your team.Don't hold back - we want the brutally honest feedback. After all, we're here to serve YOU. Drop a comment below or shoot us a DM. Can't wait to hear what's on your workshop wish list! #WorkshopIdeas #ProfessionalDevelopment #ComplianceExperts #SuccessionPlanning
My RIA Lawyer reposted this
Owner of My RIA Lawyer, Outsourced CCO and General Counsel to SEC registered firms, Securities Attorney, Compliance Nerd, Speaker, Educator, Lip-sync enthusiast
As we enter the last third of the summer, many of us are transitioning from a season of travel and family time to the busier fall months. With school starting and the holidays on the horizon, the pace of the year is about to double. For financial professionals, this period is crucial. The SEC’s fiscal year is ending, and while exams and matters are wrapping up, October signals a new batch of exams. Now is the time to get on top of your compliance. Over the next few weeks our team will be busy visiting clients and checking in on all their processes. We’ll also be looking at where we can improve, and this is something I highly encourage you to do too. Reflect on the past six months: what did you do well, and where do you need improvement? This midyear checkpoint is the perfect opportunity to pivot if necessary. Set clear deadlines and break goals into smaller, manageable pieces. Don't let the upcoming rush catch you off guard. Use this time wisely to ensure your compliance is up to date and your strategies are aligned. If you need expert guidance, reach out to our team at My RIA Lawyer to stay ahead and ensure a smooth transition into the fall. Our done-for-you Outsourced Compliance Department Services will make sure that compliance never causes you another headache. #compliance #financeindustry #businessowners
Lawyers are taught to think big picture when it comes to how rules and regulations impact a business. It isn’t just about what documents need to be updated or what additional disclosures need to be made. It is thinking about the risk and liability a decision creates or diminishes. https://lnkd.in/ex8MagYX #RIAcompliance #SEC #Compliance #MyRIALawyer #ComplianceNerd
Owner of My RIA Lawyer, Outsourced CCO and General Counsel to SEC registered firms, Securities Attorney, Compliance Nerd, Speaker, Educator, Lip-sync enthusiast
The idea of breaking away and starting your own firm can be time filled with both excitement and a little bit of overwhelm. Especially if you’re breaking away as a group or team, you may need to manage everyone’s expectations about what the next steps are going to look like. So today we wanted to help put you at ease with the registration part of the process. So we’ve created a walkthrough of exactly what the process looks like with the My RIA Lawyer team at your side. This video also helps you understand what we need in order to get this process started as quickly as possible for you. We’ll hold your hand every step of the way and make sure we actually build the business of your dreams and not the one that haunts your nightmares. https://lnkd.in/gyQEP5ae #financialadvisors #myrialawyer #ria
Let's talk about some recent SEC decisions... https://lnkd.in/eR_gSSuC #RIAcompliance #SEC #Compliance #MyRIALawyer #ComplianceNerd
Compliance can't be an afterthought - handing it off to staff without expertise leaves you vulnerable. While consultants can provide basics, they lack the legal expertise to truly protect your firm. The only real defense is working closely with compliance counsel who can guide you through the complexities. Don't settle for just checking boxes - get the dedicated legal support your firm needs. https://lnkd.in/ex8MagYX #RIAcompliance #SEC #Compliance #MyRIALawyer #ComplianceNerd
Well, it’s finally happened… the Federal Trade Commission (FTC) dropped the hammer on non-compete agreements. On April 23, 2024, they issued a new rule banning these clauses in all employment contexts. That’s right, no more non-competes for your firm’s employees, independent contractors, or even unpaid workers. While this move is meant to foster a more competitive job market, it brings along many changes. Changes that you need to start thinking about very, very soon. The FTC non-compete ban is set to start by September 2024. So… now is the perfect time to get yourself sorted and stay ahead of the FTC’s non-compete ban. https://lnkd.in/eNwDG5iD