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Compliance

Let’s Talk About Compliance

Let’s Talk About Compliance

The idea of compliance can be intimidating for financial advisors. Whether you’re transitioning, just starting up, or bringing on new clients, or dealing with a level of uncertainty, there’s a level of uncertainty there.  What if the cost is higher than you’d anticipated? What if you make a mistake, have to restart the process, and resubmit all over again? What about when – not if – you get audited. Are you prepared?

The fear that you’re feeling is valid – this is a big step to creating your ideal practice. It’s totally natural that you’d feel nervous or unsure of yourself. But I’m here to make sure that you have the knowledge and tools to successfully register and fulfill your compliance obligations – all with minimal stress. Sound good? Read more...