How to Introduce Compliance Best Practices in Your Firm

Posted on May 15, 2020

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.