Ep #78: Compliance Mailbag with Jim Cullen

Jim is the President of Financial Planners Assistance Corp. FPAC is a compliance firm that works with independent RIAs and financial planning firms. We talk about quite a few topics from what to expect when being audited to how giving gifts can create unintended consequences. 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