May 2021 MPC Thumbnail Image –RECORDED

A Firm Owner's Guide to Compliance

Compliance weighing you down? You're not alone. Even the most seasoned firm owners struggle to stay on top of compliance tasks and navigate the complicated regulatory landscape. Lucky for you, we have a whole team that lives and breathes compliance at XYPN. Even luckier for you, two members of that team are ready to show you the ropes. Join XYPN Compliance Consultants Shelby Brown and Terria Heng as they teach you everything you need to know about being a Chief Compliance Officer. If the thought of managing a compliance program solo has you running back to bed and pulling the covers over your head, you won't want to miss our next free webinar.
 

 

 

Event Details

Listen in as Shelby and Terria share their expert advice on:

  • Your CCO Checklist 
  • Registering and launching your firm
  • Ensuring your marketing and website meet compliance requirements
  • Documentation requirements for virtual advisors
  • Discretionary vs non-discretionary investment management from a compliance perspective