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)
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 […]