Keep your firm compliant
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
128K PDF) of Compliance Review, Tom Giachetti, Esq. of Stark and Stark, discusses ongoing compliance and risk management issues facing advisors.