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Ep #236: Audits: The Do’s and Don’ts According to a Former Regulator: An Interview with Kingston Hollman

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Manage episode 249288359 series 92200
Content provided by Behind The Advisor. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Behind The Advisor or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ppacc.player.fm/legal.

Kingston Hollman is one of XYPN’s compliance consultants and a former regulator with the state of Minnesota. Having been a financial advisor and firm owner himself in the past, Kingston now provides firm owners with expert advice on how to embrace a culture of compliance and what to expect when it comes to audits.

You can find show notes and more information by clicking here: http://www.xyplanningnetwork.com/236

  continue reading

409 episodes

Artwork
iconShare
 
Manage episode 249288359 series 92200
Content provided by Behind The Advisor. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Behind The Advisor or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ppacc.player.fm/legal.

Kingston Hollman is one of XYPN’s compliance consultants and a former regulator with the state of Minnesota. Having been a financial advisor and firm owner himself in the past, Kingston now provides firm owners with expert advice on how to embrace a culture of compliance and what to expect when it comes to audits.

You can find show notes and more information by clicking here: http://www.xyplanningnetwork.com/236

  continue reading

409 episodes

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