As a responsible and principled financial advisor, you know that compliance is critical to the operation of your business.
The risk of overlooking this key consumer protection – and potentially undergoing an audit – cannot be overstated.
From social media to blogs, emails to ad campaigns, articles to video scripts, and more – compliance protects your brand, your firm, your team and your clients.
Are you confident in your firm’s compliance processes? Do you want a better handle on best practices?
Join Carson’s Regional Compliance Manager, Cody Augustus, and Compliance Manager of Ad Review, Don Slaughter, for a special on-demand webinar, “How to Introduce Compliance Best Practices in Your Firm.”
Cody and Don have a keen understanding of the regulatory environment and a sharp eye for the rules that govern the financial services industry.
During the webinar, they discuss:
- Advisors’ key compliance challenges and how to overcome them
- Compliance resources that keep firms on track
- The importance of a compliance team that works quickly
- Compliance task management
- And more!
Watch “How to Introduce Compliance Best Practices in Your Firm” by filling out the form.