Ep #305: Embracing an Expanding Compliance Program
Behind The Advisor · Behind The Advisor
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Show Notes
Today, we have the privilege of talking to Terria Heng and Shelby Brown, two of XYPN's Compliance Coaches who together have nearly two decades of experience as examiners and compliance consultants.
Terria and Shelby discuss with us their recommended approach to compliance, the time commitment required to ensure you're creating a culture of compliance within your firm, and several other compliance considerations that keep RIA owners up at night. They give great advice like how to trust your instincts, and they deliver valuable insight into how regulators and examiners approach their jobs. They discuss the required compliance changes involved when you add a teammate, approach SEC registration, or make a considerable mistake.
You can find show notes and more information by clicking here: http://www.xyplanningnetwork.com/305