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

In the meantime, you might enjoy these helpful resources:

Featuring

Shelby Brown joined XY Planning Network as a Compliance Consultant in May 2019. Prior to joining XYPN Shelby gained extensive experience filing initial registration applications for State- and SEC-Registered investment advisors of all sizes as well as assisting in the design and development of a compliance program that can be immediately implemented. Shelby’s Investment Advisor Certified Compliance Professional™ (IACCP®) designation, earned in 2016 through National Regulatory Services (NRS), certifies that she is equipped with the knowledge and tools necessary to implement and manage a successful compliance program at any investment advisory firm.

Growing up in Lake Tahoe, Nevada has instilled a love of the outdoors in Shelby. You can find her on the golf course, at the beach, or in a campsite in the summer and snowshoeing, crafting, or soaking up a good book by the fire in the winter. Home is where the heart is, but Shelby and her husband also love to travel and take photographs to display around their home. They are always planning their next adventure!

Terria Heng has spent her career in financial regulatory compliance. She started out as a compliance consultant at a boutique compliance firm located in Beverly Hills, CA, where she assisted breakaway brokers in transitioning from wirehouses to the independent RIA space. Prior to joining XYPN as a Compliance Consultant, Terria was a financial examiner at the Texas State Securities Board for 6 years. Terria has extensive knowledge in state compliance examinations, including effectively communicating with regulators, responding to regulatory inquiries, and best practices in practice management. Currently living in Portland, Oregon, Terria enjoys hiking the Columbia Gorge with her dog Kuba or going on long road trips with her partner in their Sprinter van.

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A Firm Owner's Guide to Compliance

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