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XYPN’s Kori Lennon on Compliant Client Messaging for Advisers

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XYPN’s Kori Lennon on Compliant Client Messaging for Advisers

XY Planning Network (XYPN) supports more than 2,300 independent, fee-only advisory firms and has just added the phone and messaging platform CurrentClient to its member benefits. Kori Lennon, vice president of Emerald at XYPN, spoke to The Fintech Times about what compliant communication actually requires, how firms should treat AI call summaries and why the adviser tech stack is so hard to join up.

Lennon is clear that the problem members raised was not an inability to communicate safely. “Advisors could communicate safely with clients, but that communication relied on an unreliable and inefficient patchwork of tools and integrations, requiring manual oversight and maintenance,” she said.

“Our members are independent advisors wearing many hats, and they’re also deeply dedicated to serving their clients,” she added. “They shouldn’t have to track dozens of manual tasks that keep their phone system connected, their contacts up to date, or their communications properly archived.” XYPN worked with CurrentClient to build a direct integration with its own XYPN Archive product so that calls and messages connect to the archiving system.

Drawing on guidance from CurrentClient founder Dustin Belliston, Lennon said the fundamentals are familiar even if the detail varies by jurisdiction. “Generally, firms need to demonstrate that they maintain a cohesive compliance program, with written policies and procedures that cover texting,” she said.



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