Regulate THIS!
Take This Seriously - SEC Exams
34:31
Welcome to Regulate THIS! In this episode, we (Laila Shaver and Tracie Bear) tackle the topic of SEC exams - something many advisors dread but shouldn't have to fear if they're doing things right. We break down what happens during these audits, why they matter, and how to prepare for them without losing sleep.
We discuss the crucial role of a qualified Chief Compliance Officer and the pros and…