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The Independent Financial Advisor's Essential Guide to Compliance


The Guide Covers:

  • Leaving your position with an existing firm to start your own fee-only firm
  • Calculating your assets under management
  • Compliance issues to consider when changing your fee structure
  • How to prepare for an RIA audit
  • And much more
 
 
 
 

Free Download: Essential Guide to Compliance

Free Resource


The Independent Financial Advisor's Essential Guide to Compliance will get you started on navigating the complex topic, but consider joining XYPN if you want an expert in your corner. Membership with XY Planning Network means you don't need to handle compliance on your own. 

P.S. XYPN members work directly with our compliance team—just one benefit of XYPN membership! 

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