Ep #305: Embracing an Expanding Compliance Program: A Discussion with Shelby Brown and Terria Heng
Today, we have the privilege of talking to Terria Heng and Shelby Brown, two of XYPN\u2019s Compliance Coaches who together have nearly two decades of experience as examiners and compliance consultants.
Terria and Shelby discuss with us their recommended approach to compliance, the time commitment required to ensure you\u2019re creating a culture of compliance within your firm, and several other compliance considerations that keep RIA owners up at night. They give great advice like how to trust your instincts, and they deliver valuable insight into how regulators and examiners approach their jobs. They discuss the required compliance changes involved when you add a teammate, approach SEC registration, or make a considerable mistake. Terria and Shelby\u2019s perspective on compliance is refreshing, and you can\u2019t help but absorb some of their energy and passion for all things compliance.
If you\u2019re interested in how your compliance responsibilities will evolve as your scale your firm, this show is for you.
You can find show notes and more information by clicking here:\xa0http://www.xyplanningnetwork.com/305\xa0\xa0