Ep 003 - "How to Mitigate Hidden Legal Risks in Your Financial Advisory Firm" - feat. Emil Ali, Attorney

Welcome to the Advisor's Edge Podcast!

In this episode, hosts Rob Jacomen and Chad Ramberg sit down with special guest Emil Ali from McCabe Ali, a law firm specializing in representing investment advisors and broker-dealers.

Join us as we dive into the complexities of compliance, the challenges advisors face in marketing and business development, and the importance of effective communication in navigating regulatory landscapes.

Emil shares his insights on the evolving role of compliance, the impact of off-channel communication, and the significance of having a solid business continuity plan.

Whether you're an investment advisor looking to grow your firm or simply interested in the legal aspects of the financial industry, this episode is packed with valuable information and practical advice.

Key Topics Discussed:

✅ Understanding client complaints and the importance of personality in client relationships

✅ The intersection of legal and compliance services

✅ Common challenges advisors face in marketing and business development

✅ The impact of remote work and off-channel communication on compliance

✅ Insights into the current state of RIA consolidation and M&A activity

Don't miss this opportunity to learn from Emil's extensive experience and expertise in the field. Be sure to like, subscribe, and hit the notification bell for more insightful episodes!

Follow Us:

Advisor's Edge Podcast:  https://www.linkedin.com/company/the-advisors-edge-podcast

Rob Jacomen LinkedIn:  https://www.linkedin.com/in/rob-jacomen/

Chad Ramberg LinkedIn:  https://www.linkedin.com/in/chad-ramberg-71278533/

Emil Ali LinkedIn:  https://www.linkedin.com/in/emilali/
McCabe Ali website:  https://mccabeali.com/
Emil Ali email:  [e-mail]

Listen to the full episode now!