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Keep Your Firm Compliant

Member for

1 year 5 months
Submitted by Dan.Benson on Tue, 10/03/2017 - 17:27

To help you keep up with new and changing compliance requirements, we offer resources, expertise and tools to help you manage your compliance responsibilities.

Keeping compliant can be a big challenge. We can help you keep on top of compliance requirements so you can focus on serving your clients and growing your firm. Our resources include:

  • Compliance Review, a monthly publication featuring insights, best practices and tips
  • News and other alerts about new regulatory requirements, including a calendar of upcoming compliance-related actions and deadlines impacting advisors and their clients
  • Mock audits to keep you as prepared as possible
  • Frequent Webcasts, hosted by experts on compliance, covering a variety of topical areas and compliance strategies
  • A compliance “toolbox,” with checklists, educational materials, and other resources to help you manage and meet regulatory requirements
  • Discounts on third-party compliance resources, including errors & omissions insurance, compliance consulting, recordkeeping tools, software and more
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