Compliance

Our Compliance Team works with you, not against you.

The financial services industry is highly regulated. Rules and guidelines are continuously evolving. Our Compliance Team takes a proactive approach to assist our partners in running a compliant practice.

We have a good compliance record and we intend to keep it that way through upholding high standards for ourselves and our partners. We value integrity and accountability, and we expect the same from our partners. That is why we work closely with our advisors on everything from paperwork to marketing to financial institution audits. Our diligence serves to protect the advisor and the institution so advisors can focus on their clients’ future.