Regulate THIS!
Beyond Checkbox Compliance Pt.1 - with guest Kenji Kawa
25:07
What does a former SEC enforcement attorney and Goldman Sachs VP know about regulatory exams that you don't?
Everything. 🎯
Kenji Kawa joins Regulate THIS! to share what regulators are ACTUALLY looking for when they examine your firm—and why most RIAs get it wrong.
Part 1 drops now, and stay tuned for part 2!