On-Demand Event

Expert Roundtable: Tackling Compliance When Transitioning to an RIA

Transitioning to an RIA can be overwhelming, and nothing can be more frustrating and confusing than compliance! Never fear—we have assembled a panel of compliance experts, members who have been there and done that, AND a real-life securities attorney for this exclusive Expert Roundtable event. In 90 action-packed minutes, these experts will come together to share all of the details and knowledge you need to tackle the ins and outs of compliance and step into your role as the kicka$$ CCO your firm needs.

What you’ll get from this Expert Roundtable event:

  • Expert advice from XYPN’s Compliance Team on eliminating trails, navigating non-competes, and what to expect for paperwork

  • Stories from XYPN members who have transitioned from a broker/dealer, wirehouse, and insurance environments

  • A deep understanding of compliance from a legal perspective as you hear from expert Securities Attorney Chris Stanley



Listen in as Alan and others share their expert advice on:

  • What a transition looks like when it comes to eliminating trails.

  • What kind of timing you can expect when launching a firm.

  • How to define “a client” based on the de minimis rule.

  • What ongoing compliance looks like.




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