- Understanding your marketing objectives to help you meet your goals.
- Mitigating risk and helping you to protect your brand and reputation.
- Providing necessary training to keep you informed of regulatory changes.
- Conducting field visits to help prepare you for any SEC, FINRA, or state examination.
- Providing Sales Material and Advertising review: An electronic review process allowing members of the advertising team to review advertising, sales material, outside business activities, and “doing business as” (DBA) as expeditiously as possible. Handling of customer complaints and/or regulatory inquiries. We work with you to provide responses based on the documentation you provide us.
- Participating in the product due diligence and investment advisory due diligence reviews.
Our Compliance & Supervision teams provide a unique combination of hand-on local support to meet your day-to-day needs combined with national resources to help you navigate the complex regulatory environment, protect your brand, and help grow your business.