How to Manage Compliance as an RIA Firm Owner
From Initial Registration to SEC Registration
Wherever compliance falls on the scale of one to outright fear for you, join us for an empowering conversation with XYPN’s Managing Director of XY Compliance Solutions, Travis Johnson, and walk away wearing your Chief Compliance Officer hat with complete confidence.Joined by XYPN member Corey Beal, CFP®, who has successfully navigated compliance in her own firm, you’ll be discussing:
- Mental barriers to compliance management and how to move through them
- The basics of state registration as a new firm owner to scaling a firm and the move to SEC registration
- Best practices for maintaining your ADV and core compliance documents
If you’re interested in demystifying and simplifying compliance, this is a can’t-miss event!
