Monitoring, Testing, and Scaling Your Compliance

What steps have you taken this year to better protect yourself and your business from the multitude of compliance risks? If you can list at least a few steps taken, congratulations are in order.  You have recognized that, much like you need homeowner’s insurance to protect your home and your physical assets, you need to […]

Choosing a Compliance Partner (and why you should have one)

A young woman smiles and look at a computer on a desk. She sits in a bright room.

Regulatory compliance, risk assessment, and risk remediation for your business can be an overwhelming task. To simplify this process, some agents and advisors choose to partner with a compliance expert. Whether you choose to hire someone in-house or engage with a consultant, you will want to ensure they are right for your practice.  Agents and […]