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

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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.

In this episode, he sheds light on why audits don’t have to be scary, as well as how regulators of different states communicate with one another. Listen in to learn the importance of being as transparent as possible, what you can do to prepare your company for an audit, and more.

 

Listen to the Full Interview:

 

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What You'll Learn from This Episode:

  • An overview of Kingston’s career.
  • What advisors can expect when it comes to audits.
  • How to embrace a culture of compliance.
  • The importance of being as transparent as possible.
  • How to prepare for an audit.

Featured on the Show:

This Episode is Sponsored By:

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