Ep #78: Compliance Mailbag with Jim Cullen
Jim is the President of Financial Planners Assistance Corp. FPAC is\xa0a compliance firm that works with\xa0independent RIAs and financial planning firms.\xa0We talk about quite a few topics from what to expect when being audited to how giving gifts can create unintended\xa0consequences. Obviously, all information offered today should be considered general advice. Follow up with your state regulators for more specific information.
You can find show notes and more information by clicking here: https://www.xyplanningnetwork.com/78