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This Friday we wanted to do something a little bit different. Over the past few years we’ve been focusing on putting out content in different forms to help our audience no matter whether they prefer to read, watch, or listen to content.?

That’s why this week we’re keeping the words short and instead wanted to share with you some of the top videos to answer the most common questions we receive from clients and community members alike. So without further ado let’s look at our top 10 compliance and legal videos.?

1. Do You Have A Valuation Process In Place For Your Alternatives? This may seem like something obvious to have set up, but it’s often the obvious processes that get forgotten about. Whenever you are dealing with alternatives you need to have a proper valuation process set up. In this video I run through what that might look like.?
2. What Are 7 Things to Know About Changes to Expungement Rules. Last year there were significant changes to the way the expungement rules work and if you haven’t yet been brought up to date with these changes this video is a great way to get informed.?
3. 5 Things You NEED To Know About Cybersecurity. Poor management of cybersecurity breaches, and not having the right processes in place can set you up to receive big fines from the regulators. In this video I run through some of the things you need to be aware of and get on top of right now.?
4. It's Hard to Find Qualified Compliance Help. Why does it seem so hard to find competent and motivated compliance staff for your business? Whether you are hiring a cookie-cutter solution from an external provider, or trying to hire in house here are a few hurdles that you might come up against. (But trust me, you won’t have to worry about any of this anymore if you’re working with My RIA Lawyer’s Outsourced Compliance Department.)
5. 10 Things You Should Know if You Are Under a Securities Investigation. Now, nobody wants to end up finding an investigation notice on their desk from the SEC, but it happens. Even people with the best intention can accidentally breach the rules and regulations. So what do you do if you find yourself in this situation? Let me run you through it.?
6. 3 Reasons To Take Your Compliance Responsibilities Seriously (BEFORE You're Held Personally Liable). Did you know it’s not your compliance provider who is going to take the fall if your compliance processes are found to be deficient? Well… at least not 100% of the time. There are plenty more reasons why you need to be taking compliance seriously and I’ll talk about some of them in this handy video.?
7. Q+A on the New Marketing Rule. An oldie but a goodie. This video runs through everything you need to keep in mind when it comes to the Marketing Rule and promoting your firm and its services. This rule has been catching lots of firms out recently so make sure you take a look at this one.?
8. Breakaway Advisors- What Should You Do BEFORE You Jump Ship. Thinking about breaking away as a solo advisor or within a group of advisors? There are a few things you probably need to start looking at now if you want to begin serving clients in 2025. This video will point you in the right direction.?
9. 10 Things YOU NEED TO BE WORRIED ABOUT After the SEC Released Its ENFORCEMENT Report. This video keeps you up to date with everyone the SEC is focusing on for 2024 and what you need to be looking into before the end of summer to make sure that you're safe in the next round of annual examinations.?
10. VIOLATIONS Of The New Marketing Rule- Hypothetical Results. I know it’s already gotten a mention in this list but the Marketing Rule is something that you need to be aware of. Because it’s not only a regulation that you need to follow, but if you use it to your advantage you can drive more growth into your business.?

So why not take some time this Friday because you head into the weekend to catch up on everything compliance and legal and really think about how your business is tracking. Do you need to be doing more to avoid a fine from the regulators, has it all started to get a little too confusing? Having a team of dedicated compliance nerds working in your business can take all of this stress off your plate and leave you more time to grow your business and work with clients. We have 2 new spots available for our Outsourced Compliance Department in May, if you’d like one of them to be yours then send me a message and my team will be in touch.?