My RIA Lawyer

Struggling to keep up with what’s going on in the world of finance and regulation? Feeling inundated by new rules but not sure how they actually affect you? Our weekly email helps round up all the news from the SEC, FINRA and other regulatory bodies to help you stay on top of everything finance and compliance. Take a peek at what you get access to in this week’s article! And if you’d like to receive updates like these every week, send us a DM with your email address and we’ll add you to the list. #compliance #sec #finra

Do your employee contracts currently contain a non-compete? Then the FTC’s new rule banning non-competes will be affecting your firm. In this week’s article we’ll be talking about what this means for you and your business and what you can do to ensure that your clients choose you everytime instead of following their advisor if they leave.

Does this sound like you?? 🤔

Running Through Consultants Like Girlfriends??? // #myrialawyer https://lnkd.in/eBk9EfQv

As we celebrate Pride Month, it's a time to reflect on the unique financial planning needs of the LGBTQIA+ community. Many LGBTQIA+ families still face legal hurdles that traditional couples do not when it comes to protecting their loved ones and building intergenerational wealth. That's why it's crucial for financial advisors to stay informed and advocate for equitable solutions. Current state laws don't necessarily afford LGBTQIA+ families the same protections. ex. male female married couple, any children produced are presumed theirs, not true in a same-sex marriage. so ensuring that families, regardless of sexuality, have the opportunity to create legacies for their children is an honorable endeavor for all advisers to participate in. #Pride #LGBTQFinance #MyRIALawyer #YourComplainanceNerd

Do you wish that keeping up with industry highlights was easier? What about rule changes and prominent cases that the regulators have announced each week? The My RIA Lawyer Friday newsletter can help you do just that! This week we’d thought we’d share the information across to LinkedIn so you can get a taste of what being on our mailing list is like and if you like what you see why not send us a message requesting to be added. Get kept up to date with industry insights and important compliance information that could affect your firm. Read more below and let us know what you think!  

"Since the debate about adding more fiduciary protections to retirement advice has “been around for a while,” many firms have already taken steps to overhaul processes like rollovers by ensuring that advisors fill out documents describing the reasons for their recommendations to clients, according to Leila Shaver, the founder of My RIA Lawyer, a compliance firm that provides outsourced services and legal guidance to registered investment advisory firms." Read More on this: https://lnkd.in/e6CbqeR6 #MyRIALawyer #ComplianceNerd #LegalServices #RIA

Today, we pay tribute to our fallen heroes and express our deepest gratitude for their service. Let us also extend our support and gratitude to the families of these heroes, who continue to carry their legacy forward. #MemorialDay #HonorAndRemember #Gratitude

👀 Are you following us on Facebook??? 👀 https://lnkd.in/eNsq5aQ4 We'd love to see you over there!! 💙

✨NEW BLOG ALERT✨ First off, let’s discuss compliance consultants for a moment. It’s no secret… I think compliance consulting is… bullshit. Why? https://lnkd.in/esgeDagd