Ep #236: Audits: The Do's and Don'ts According to a Former Regulator: An Interview with Kingston Hollman
Behind The Advisor · Behind The Advisor
January 1, 202059m 50s
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Show Notes
Kingston Hollman is one of XYPN's compliance consultants and a former regulator with the state of Minnesota. Having been a financial advisor and firm owner himself in the past, Kingston now provides firm owners with expert advice on how to embrace a culture of compliance and what to expect when it comes to audits.
You can find show notes and more information by clicking here: http://www.xyplanningnetwork.com/236