Safe Passage: How to Move Your Business Optimally and Compliantly

Along the journey to independence, compliance is one of the most misunderstood topics.   Although many advisors have a basic grasp on what their risk officers do, how to run a SEC and/or FINRA Compliant Firm is somewhat of a mystery.  In this discussion we will talk about the changes to broker protocol over the past ten years, hybrid RIA(s), what to do vs what not to do, and most importantly who gets to be the chief compliance office (CCO) of a new firm.