Compliance for New Firm Owners

Did you know that advisors are, on average, 25% more stressed than other workers? So what's keeping advisors up at night? Survey says... compliance concerns. Many financial advisors, novice and seasoned alike, struggle to play the Chief Compliance Officer role. It's technical and tedious, and the consequences of mistakes can be steep. Learn how to tackle compliance like a pro and avoid costly mistakes with the help of two XYPN members, Heather Townsend and Bill Nelson in our next free webinar. This call is ideal for anyone considering launching a firm and joining XYPN.





Listen as Bill and Heather answer questions like:

  • What was your experience with RIA compliance before you started your firm?
  • What was it like to become registered?
  • What’s a month like for your compliance program?
  • What’s the best way to “reset” if you’ve haven't done a great job at compliance in your solo practice so far?
  • What are the primary compliance essentials?
  • Is there a standard best practice software package for cybersecurity?